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18 Oct 2018, 9:19 am
(FINRA Case #2016050474001) Donald Lane Preston (CRD #4704220, Powell, Ohio) – An AWC (Accept, Waiver & Consent) was issued in which Preston was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for six months, ordered to pay $3,515.51, plus interest, in deferred restitution of fees to a customer and ordered to pay $1,427.39, plus interest, in deferred disgorgement of commissions received. [read post]
18 Oct 2018, 8:34 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA arbitration claim against her employer. [read post]
18 Oct 2018, 5:37 am
In today's featured FINRA arbitration, we got a widow. [read post]
16 Oct 2018, 12:24 pm
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
16 Oct 2018, 9:01 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
16 Oct 2018, 8:06 am
Broker with more than 50 years experience booted for not cooperating with Finra probe, InvestmentNews, October 12, 2018 The FINRA Letter of Acceptance, Waiver, and Consent in the Buck Case (PDF) Barred ‘Bada Bing’ Broker Gives Morgan Stanley More Headaches, AdvisorHub, August 23, 2018 The post Another Ex-Morgan Stanley Broker is Barred by FINRA appeared first on Securities Fraud Attorney. [read post]
16 Oct 2018, 3:09 am
Below is our quarterly newsletter. [read post]
15 Oct 2018, 2:18 pm
Claims may be brought in securities arbitration before FINRA. [read post]
15 Oct 2018, 1:56 pm
”; “mark h. wilson attorney”; “mark wilson finra”) routinely yielded a link to the review on the first page. [read post]
15 Oct 2018, 1:37 pm
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, associated person Claimant Dachtler sought the expungement from his Central Registration Depository record ("CRD") of a settled FINRA ar... [read post]
15 Oct 2018, 1:00 pm
FINRA Broker Disciplinary Action Report October 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
12 Oct 2018, 12:09 pm
Continue reading The post FINRA Bars Broker Kyusun Kim After Multiple Customer Complaints Of Unsuitability appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Oct 2018, 10:37 am
A recent FINRA arbitration asks us to consider what happens when a brokerage firm sorta twists a stockbroker's arm and suggests that, hey, maybe if a customer do... [read post]
12 Oct 2018, 10:23 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
12 Oct 2018, 10:22 am
Sometimes the majesty and detail of a scam or fraud is really, really impressive. [read post]
11 Oct 2018, 3:15 pm
Credit Suisse Securities (USA) LLC, FINRA Case No. 16-03065. [read post]
11 Oct 2018, 12:52 pm
Meyers Associates was expelled by FINRA on 5/29/2018. [read post]
11 Oct 2018, 10:58 am
FINRA barred him after the theft and for not testifying before FINRA regarding the allegations. [read post]
10 Oct 2018, 2:31 pm
Wealth management fees and commission fees are rarely supposed to exceed 2%, by industry standards, and FINRA has very specific rules regarding fee ratios to account size and profit. [read post]
10 Oct 2018, 12:58 pm
Yesterday, a Financial Industry Regulatory Association (FINRA) arbitration panel in New Jersey, FINRA Case No. 03-08177, handed down a decisive award in favor of a trader, who was also a Series 7 registered broker. [read post]
