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23 Aug 2018, 5:02 am
For failing to appear for testimony, Singer was in violation of FINRA Rules 8210 and 2010 and automatically barred. [read post]
22 Aug 2018, 6:28 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
22 Aug 2018, 6:26 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Alan New (New) appears to be an agent for Woodbridge fraudulent note sales. [read post]
22 Aug 2018, 3:58 am
On February 8, 2017, Leitner filed a FINRA arbitration statement of claim against UBS Securities, which moved in the United States District Court for the Southern District of New York ("SDNY") to enjoin Leitner from proceeding with the arbitration. [read post]
21 Aug 2018, 2:08 pm
In fact, the FINRA arbitration panel had a week of hearings, a time frame longer than usual. [read post]
21 Aug 2018, 1:28 pm
While this may not seem like a big deal, like everything else with FINRA there is a trickle-down effect that can put many firms in a squeeze. [read post]
21 Aug 2018, 9:17 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]
21 Aug 2018, 7:58 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
21 Aug 2018, 6:43 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit http://www.whitesecuritieslaw.com. [read post]
21 Aug 2018, 5:20 am
According to FINRA Disciplinary actions for July 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Anthony Carpenter UBS Financial Services Inc A.G. [read post]
21 Aug 2018, 5:17 am
According to FINRA Disciplinary actions for July 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 Fernando Enrique Acosta Paul Anthony Bustamante Empire Asset Management Company Bishop, Rosen & Co, Inc… [read post]
21 Aug 2018, 5:14 am
The post FINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Aug 2018, 1:40 pm
FINRA Broker Disciplinary Action Report August 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]
20 Aug 2018, 10:58 am
There have been over 2,000 FINRA arbitrations filed in Puerto Rico in regards to unsuitable leveraged investments in Puerto Rican bond funds, and over $226 million in awards so far. [read post]
20 Aug 2018, 10:58 am
There have been over 2,000 FINRA arbitrations filed in Puerto Rico in regards to unsuitable leveraged investments in Puerto Rican bond funds, and over $226 million in awards so far. [read post]
18 Aug 2018, 5:59 am
In today's featured lawsuit, we got a Complaint filed in the Delaware Court of Chancery, and the Plaintiffs are seeking a TRO because they say that they've been libeled and slandered before the Securities and Exchange Commission, and FINRA got ... [read post]
17 Aug 2018, 11:33 am
In fact, they are very much not the same thing, and current reform to financial rules and regulations under review by the regulatory bodies governing the financial industry, the SEC and FINRA, have homed in on this discrepancy. [read post]
17 Aug 2018, 9:04 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
17 Aug 2018, 8:22 am
It is unclear from publicly available information whether EquityBuild investments were sold by FINRA or SEC-registered financial advisors. [read post]
16 Aug 2018, 5:56 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the tenth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
