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31 Mar 2021, 9:16 am
The FINRA Letters of Acceptance, Waiver & Consent (AWCs) announcing the sanctions are accessible here. [read post]
25 Jun 2012, 7:26 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
6 Dec 2016, 9:32 am
This marks the largest award involving Puerto Rico bond funds to date, according to FINRA. [read post]
7 May 2013, 2:59 pm
FINRA recently announced that Sean Francis Sheridan (a financial advisor based in Oakhurst, New Jersey) has been barred from association with any FINRA member in any capacity. [read post]
2 Feb 2015, 12:39 pm
If you are not asking that question, FINRA may as its recent $350,000 fine levied against a major brokerage house indicates. [read post]
25 Jun 2012, 7:27 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
21 Jun 2012, 8:13 am
Citigroup Global Markets case no. 10-02971 before a panel of FINRA arbitrators. [read post]
30 Jul 2017, 12:39 pm
In July, 2017, a FINRA arbitrator panel sitting in Los Angeles, CA issued a $1,797,100 binding arbitration award against Wedbush Securities a FINRA registered broker dealer. [read post]
26 May 2023, 11:29 am
All 9 complaints reportedly settled, according to FINRA. [read post]
29 Jul 2016, 8:51 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
2 Feb 2023, 6:48 pm
Our GWG Investor Loss Attorneys May Be Able To Help You Investors File FINRA Lawsuit Seeking Up to $5M from NI Advisors Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to sue the brokerage firms that sold GWG L Bonds to investors. [read post]
19 Jun 2012, 2:00 am
The exchanges and FINRA will implement these changes by February 4, 2013 on a one-year pilot basis. [read post]
16 Jun 2014, 10:23 pm
A press release from December points out what happens to private companies that are as careless about preserving records as the IRS claims to be: The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years. [read post]
3 Jul 2014, 5:18 am
On June 25, the SEC announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission a national market system plan to implement a targeted 12 month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain small capitalization stocks. [read post]
28 Apr 2010, 5:00 am
Sources Executive Summary of Regulatory Notice 10-22: Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings Regulatory Notice 10-22: Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings FINRA Press Release – FINRA Sets Regulatory Guidance for Investigating Private Placements FINRA Tells Its Membership to Do a “Reasonable” Investigation of Private Placements in Investor’s… [read post]
2 Jun 2012, 12:00 pm
According to the Finra order of settlement, which was submitted by Mr. [read post]
16 Aug 2024, 8:20 am
(CRD#:22067, expelled by FINRA in 2019), J.P. [read post]
14 Apr 2010, 8:41 am
Last week, in an almost unprecedented manner, three groups of securities regulators – the SEC, the Financial Industry Regulatory Authority (FINRA), and various state regulators – almost simultaneously filed enforcement actions against Morgan Keegan for fraud arising out of its sales of 6 toxic bond funds. [read post]
7 Nov 2013, 8:05 am
BrokerCheck is a free online database provided by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Jan 2016, 11:27 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
