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30 Oct 2018, 6:15 am
We got a FINRA arbitration. [read post]
29 Oct 2018, 1:33 pm
Country Capital’s public disclosure found on FINRA BrokerCheck states that Lopez was “terminated due to termination by affiliated insurance companies for alleged violation of provisions in his insurance agent contract relating to obligations of honesty. [read post]
29 Oct 2018, 8:00 am
The clinic was initially funded by FINRA and serves an important public service helping many small investors pursue their claims while teaching the next generation of lawyers. [read post]
29 Oct 2018, 7:27 am
Said claims include: • potentially inaccurate disclosures by MVP American Securities, the broker-dealer affiliated with the Advisor, to FINRA relating to total underwriting compensation paid by the Advisor and its affiliates (other than the Registrant) in connection with the initial public offerings of MVP REIT, Inc. and the Registrant • potential inaccuracies in personal financial statements of Shustek that were provided to one or more of the Registrant’s lenders in… [read post]
28 Oct 2018, 9:46 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
26 Oct 2018, 2:29 pm
They must ensure they are complying with FINRA rules. [read post]
26 Oct 2018, 12:49 pm
If so the FINRA arbitration claims process can be used to recover those losses. [read post]
26 Oct 2018, 11:47 am
They must ensure they are complying with FINRA rules. [read post]
26 Oct 2018, 10:34 am
Some business school professors recently posted new research on FINRA arbitration and came away with interesting findings. [read post]
26 Oct 2018, 7:34 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
26 Oct 2018, 7:31 am
According to FINRA Disciplinary actions for October 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Lindsey Brown William Downing Coastal Equities, Inc J. [read post]
26 Oct 2018, 7:27 am
According to FINRA Disciplinary actions for October 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gregory Adamo Allstate Financial Services, LLC National Securities Corporation Ricardo Bustamante … [read post]
25 Oct 2018, 1:47 pm
FINRA members have fiduciary duty to a professional standard of care. [read post]
25 Oct 2018, 11:48 am
They must ensure they are complying with FINRA rules. [read post]
25 Oct 2018, 9:49 am
The findings stated that Kabana also refused to appear for FINRA on-the-record testimony. [read post]
25 Oct 2018, 9:16 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
25 Oct 2018, 9:01 am
They must ensure they are complying with FINRA rules. [read post]
25 Oct 2018, 8:23 am
In December 2016, A FINRA arbitration panel ordered UBS to pay $18.6M to two UBS clients who had alleged breach of contract, breach of fiduciary duty, and other violations over their Puerto Rico securities losses. [read post]
25 Oct 2018, 6:49 am
(FINRA Case #2016049321301) Terry Lee McCoy (CRD #1476696, New Port Richey, Florida) – An AWC (Accept, Waiver, & Consent) was issued in which McCoy was assessed a deferred fine of $75,000 and barred from association with any FINRA member in any principal capacity. [read post]
25 Oct 2018, 6:44 am
Claims may be brought in securities arbitration before FINRA. [read post]
