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21 Sep 2018, 7:48 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
21 Sep 2018, 5:57 am
FINRA Broker Disciplinary Action Report September 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]
21 Sep 2018, 5:12 am
If you suffered investment losses in ATEL 15 LLC or another ATEL offering, the securities attorneys at The White Law Group may be able to help you through FINRA arbitration. [read post]
21 Sep 2018, 4:44 am
Most reasonable folks -- and, admittedly, that's becoming a rare population -- but, just the same, most reasonable folks would agree that if you are amenable to arbitrate your disputes with me, and I'm amenable to arbitrate my disputes with you, and we write down the terms of how we will conduct any arbitration, and we sign that written agreement, and then, just for good measure, we shake on it, well, you know, you should be able to hold me to what I signed and vice versa. [read post]
21 Sep 2018, 4:17 am
As between plaintiffs and their supervisor, all agents registered with FINRA, any legal action would have had to be an arbitration proceeding before a FINRA arbitrator. [read post]
20 Sep 2018, 2:27 pm
According to publicly available information through FINRA, Ms. [read post]
20 Sep 2018, 2:27 pm
Romer III, a former Michigan-based financial adviser with 47 disclosures on his Broker-Check record and who was barred by FINRA last year. [read post]
20 Sep 2018, 12:46 pm
File No. 3-17930 (June 28, 2018).Back on August 22, 2013, FINRA’s Department of Enforcement filed a Complaint against Ottimo alleging that he, inter alia, violated FINRA Rules 2010, 1122, NASD IM-1000-1, and Article V, Section 2(c) of FINRA’s By-Laws by deliberately failing to disclose facts on his Form U4. [read post]
20 Sep 2018, 6:19 am
FINRA’s actions reflect a long-anticipated and increased scrutiny on entities—including employers—dealing with cryptocurrency. [read post]
20 Sep 2018, 5:47 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your FS Energy & Power Fund losses through FINRA arbitration. [read post]
20 Sep 2018, 5:13 am
who had become the President and Chief Compliance Officer of FINRA member firm Sequoia Investments, Inc. [read post]
20 Sep 2018, 4:47 am
If that's the case, we start today's BrokeAndBroker.com Blog with a news story: Stockbrokers sue customer in a FINRA arbitration. [read post]
19 Sep 2018, 3:49 pm
According to FINRA records, Mr. [read post]
19 Sep 2018, 3:43 pm
This is according to FINRA records online. [read post]
19 Sep 2018, 2:32 pm
How do FINRA and the SEC parse enforcement issues for these hybrid advisers? [read post]
19 Sep 2018, 1:32 pm
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Ford has been subject to eight customer disputes and three regulatory disputes. [read post]
19 Sep 2018, 1:29 pm
In December 2017, FINRA suspended Miller for failing to properly supervise his firm’s chief compliance officer (CCO) and direct supervisor as the member firm’s president. [read post]
19 Sep 2018, 1:26 pm
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Goodman has been subject to three customer disputes, one of which is still pending. [read post]
19 Sep 2018, 1:14 pm
If you have losses, now is the best time to consult with an attorney and bring those claims before the FINRA forum is foreclosed to investors. [read post]
19 Sep 2018, 9:44 am
This is according to Wright’s BrokerCheck report with FINRA online. [read post]
