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12 Nov 2018, 5:44 am
In a recent FINRA arbitration, a stockbroker seems to have been put through hell by the false accusations of her former mother-in-law. [read post]
9 Nov 2018, 10:01 am
Claims may be brought in securities arbitration before FINRA. [read post]
9 Nov 2018, 9:41 am
It's pretty much the same with a lot of FINRA Arbitration cases. [read post]
9 Nov 2018, 9:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Stuckey’s customer complaints allege that Stuckey made unsuitable recommendations in different investments including variable annuities and energy stocks. [read post]
9 Nov 2018, 6:39 am
Bindelglass also worked for Citigroup Global Markets, Inc. in Paramus, NJ from June 10, 2005 until June 1, 2009, FINRA notes. [read post]
9 Nov 2018, 6:29 am
Said alleged unsuitable investments took place between the time period of January 2011 – July 2014, and the complaint is requesting damages of $100,000, FINRA notes. [read post]
9 Nov 2018, 5:32 am
(FINRA) that affirmed the lifetime ban imposed on two stockbrokers, nonparties Talman H... [read post]
9 Nov 2018, 5:24 am
In its press release,"Odeon Capital Group LLC Strengthens Equity Desk Research," the broker-dealer announced on December 7, 2016, its hire of Jahanara Nissar as an Equity Desk Analyst in Technology, Media and Telecommunications. [read post]
8 Nov 2018, 9:33 am
The post FINRA Awards former Credit Suisse Broker $975,530 appeared first on White Securities Law. [read post]
8 Nov 2018, 9:33 am
The post FINRA Awards former Credit Suisse Broker $975,530 appeared first on White Securities Law. [read post]
8 Nov 2018, 9:05 am
Since then, many of them have filed Financial Industry Regulatory Authority (FINRA) securities arbitration claims contending that these investments, and their money, were improperly handled.They also claim that they were not properly apprised of the risks, which they say were misrepresented to them. [read post]
8 Nov 2018, 7:59 am
Claims may be brought in securities arbitration before FINRA. [read post]
8 Nov 2018, 7:34 am
In addition in August 2012 FINRA brought a regulatory action against Kurtz for altering certain account records. [read post]
8 Nov 2018, 7:31 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Fernandez has been subject to 19 customer disputes, 10 of which are still pending. [read post]
8 Nov 2018, 7:20 am
FINRA Case #2014041590801) John William Cutshall (CRD #874352, Woodsboro, Maryland) – Cutshall was named a respondent in a FINRA complaint alleging that he abused his position as trustee for trusts that he administered on behalf of a married deceased couple and an elderly widow, by converting and improperly using funds from these trusts. [read post]
8 Nov 2018, 6:52 am
Kolta has 15 customer disputes in his 10 year career in the securities industry, and has worked with 6 firms, FINRA states. [read post]
8 Nov 2018, 6:33 am
Kevin Richard Wilson Facing Two Pending Customer Disputes Kevin Wilson is facing two pending customer disputes alleging acts of unsuitability, according to FINRA Reports under review by investor rights attorney Alan Rosca. [read post]
7 Nov 2018, 3:04 pm
(“Black Creek” or the “Company”) may be able to recover losses on their investment through initiating an arbitration proceeding with FINRA Dispute Resolution, if the recommendation to purchase Black Creek was unsuitable, or if the broker or financial advisor who recommended the investment made a misleading sales presentation. [read post]
7 Nov 2018, 11:45 am
FINRA will, however, waive one branch renewal fee for each FINRA-registered firm. [read post]
7 Nov 2018, 10:42 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit http://www.whitesecuritieslaw.com. [read post]
