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19 Sep 2018, 8:21 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
19 Sep 2018, 7:19 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
18 Sep 2018, 9:41 am
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]
18 Sep 2018, 6:19 am
The SEC Order in the $1.5M Whistleblower Award (PDF) The SEC Order Granting Two Whistleblowers Over $54M (PDF) CFTC Announces Multiple Whistleblower Awards Totaling More than $45 Million, CFTC, August 2, 2018 More Blog Posts from SSEK Law Firm: Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers, September 11, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed… [read post]
17 Sep 2018, 11:27 am
As stated in our post on Selling/Trading away FINRA rules mandate that an investor advisor provide prior notice to the broker dealer and receive approval for all private securities marketed. [read post]
17 Sep 2018, 9:58 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2018, public customer Claimants Edwin C. [read post]
17 Sep 2018, 7:56 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses through FINRA Arbitration. [read post]
16 Sep 2018, 4:40 pm
”The FINRA news releases can be viewed at the following links:http://www.finra.org/newsroom/2016/finra-sanctions-oppenheimer-co-34-million-reporting-violations-failing-complyhttp://www.finra.org/newsroom/2015/finra-sanctions-oppenheimer-co-375-million-supervisory-failuresAn example of a Motion for Sanctions in a FINRA arbitration can be found below: [read post]
14 Sep 2018, 8:00 pm
The SEC Complaint in the Steele Financial Complaint (PDF) The SEC Complaint in the Bressman Case (PDF) The SEC Complaint in the Microcap Scam (PDF) More Blog Posts: Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models, August 29, 2018 GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors, August 20, 2018 The post Investor Fraud: Steele Financial is Accused of… [read post]
14 Sep 2018, 1:35 pm
Downing from associating with any FINRA member in any capacity. [read post]
14 Sep 2018, 11:28 am
For FINRA’s full findings see FINRA case # 2018057025501. [read post]
14 Sep 2018, 9:25 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
14 Sep 2018, 4:31 am
FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Cadaret Grant & Co. $800,000 for various supervisory issues. [read post]
13 Sep 2018, 11:16 am
The FINRA complaint can be found here. [read post]
13 Sep 2018, 9:27 am
He is not currently associated with any FINRA-member firm. [read post]
13 Sep 2018, 9:16 am
FINRA barred Downing after he failed to respond to a request for information. [read post]
13 Sep 2018, 7:27 am
(CRD #46027), where Henriquez was previously registered, have been expelled by FINRA. [read post]
13 Sep 2018, 7:22 am
(FINRA Case #2015046971701) Nas Adel Allan (CRD #4562149, Staten Island, New York) – An Offer of Settlement was issued in which Allan was fined $2,500, suspended from association with any FINRA member in all capacities for one month and ordered to pay disgorgement of a portion of commissions received in the amount of $2,500, plus interest. [read post]
13 Sep 2018, 6:47 am
Business Ventures and Suspension Shaw was recently fined $10,000 and suspended by FINRA for six months, effective 08/07/2018 for numerous violations, including: Continue reading The post FINRA Hands Satya Brata Shaw Six-Month Suspension and $10K Fine appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Sep 2018, 12:42 pm
The White Law Group represents investors in FINRA arbitration claims throughout the country. [read post]
