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9 Sep 2018, 7:16 am
Claims may be brought in securities arbitration before FINRA. [read post]
9 Sep 2018, 7:15 am
In July 2018 FINRA sought documents and information from Flores which he refused to provide. [read post]
9 Sep 2018, 7:14 am
(CUNA) in Boca Rotan, Florida was barred by FINRA concerning allegations that Cheney-Jamison sold investments away from her firm. [read post]
7 Sep 2018, 12:32 pm
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
7 Sep 2018, 10:50 am
You can check the promoters' records on the Investment Adviser Public Disclosure website or FINRA's BrokerCheck. [read post]
7 Sep 2018, 10:01 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a FINRA arbitration claim. [read post]
7 Sep 2018, 8:59 am
Many of these unregistered salespeople are former brokers and advisors who have been barred by FINRA after a customer complaint, employment separation or other unresolved administrative issue. [read post]
7 Sep 2018, 7:40 am
Silver Law Group is investigating claims against former Boston, Massachusetts-based Morgan Stanley brokers James Polese (CRD# 2636427) and Cornelius Peterson (CRD# 5769919) after FINRA barred both of them for allegedly stealing $450,000 from an elderly client. [read post]
7 Sep 2018, 7:38 am
Lincoln Investment Planning, which settled with FINRA, self-reported this issue. [read post]
7 Sep 2018, 6:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Thomas Sova (Sova), formerly associated with Hornor, Townsend & Kent, Inc. [read post]
7 Sep 2018, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) John Ernst (Ernst) appears to be an agent for Woodbridge fraudulent note sales. [read post]
7 Sep 2018, 6:48 am
Pariser allegedly told the Claimant that Parris came highly-recommended and could be trusted, despite the fact that Parris had been suspended by FINRA less than two (2) years prior. [read post]
6 Sep 2018, 12:52 pm
Banco Popular de Puerto Rico Bond Fraud Cases At Shepherd Smith Edwards and Kantas, our Banco Popular de Puerto Rico bond fraud lawyers have been pursuing claims on behalf of investors that sustained losses because they invested their money through Banco Popular’s advice and FINRA-regulated brokerage arm, Popular Securities. [read post]
6 Sep 2018, 11:45 am
FINRA recently appointed Jack Ehnes as a public governor. [read post]
6 Sep 2018, 10:19 am
They must ensure they are complying with FINRA rules. [read post]
6 Sep 2018, 9:40 am
The post FINRA Censures Lincoln Investment Planning for Mutual Fund Overcharges appeared first on White Securities Law. [read post]
6 Sep 2018, 7:53 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
6 Sep 2018, 6:11 am
According to BrokerCheck Records kept by the Financial Industry Regulative Authority (FINRA), Schneider has been subject to nine customer disputes. [read post]
5 Sep 2018, 1:23 pm
” Continue reading The post FINRA Bars Broker Herbert Voss, Jr. [read post]
5 Sep 2018, 1:12 pm
He became permanently barred from associating with any FINRA representative as of 8/7/2018. [read post]
