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23 May 2019, 7:37 am
Regulations Are Mute Concerning Client Bequests to BrokersAfter a Maryland financial advisor inherited $500,000 from an elderly client, lawmakers have asked the governing body of the securities industry, the Financial Industry Regulatory Authority (FINRA), to provide guidance over whether and how brokers can inherit wealth from customers, especially senior investors.Led by Nevada Senator Catherine Cortez Masto, the lawmakers sent a letter to FINRA President and CEO Robert W. [read post]
21 Oct 2019, 5:07 am
Not that detailed, though…Unfortunately for investors looking to background check their broker, financial advisors are appealing to FINRA for the purging of key information on these reports in record numbers. [read post]
29 Aug 2012, 11:11 am
The FINRA arbitration panel denied with prejudice MSSB’s claims. [read post]
16 Jan 2015, 10:50 am
If so, the White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the broker dealer that sold you the investment. [read post]
21 Aug 2014, 3:59 pm
Broker dealers that overlook the FINRA suitability requirements or mislead investors regarding risks can be liable for investment losses through FINRA dispute resolution. [read post]
25 Aug 2020, 2:14 pm
Eight of the 12 customers were “seniors,” according to Finra. [read post]
9 Nov 2016, 2:53 pm
If you have suffered losses investing in UDF IV, The White Law Group may be able to help with a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
22 Feb 2015, 9:35 am
Based on FINRA’s 2014 targeted examination of firms and other related initiatives, the report presents FINRA’s latest work in this critical area. [read post]
15 Nov 2011, 5:10 pm
The notice also outlines findings from a survey FINRA conducted with broker/dealers and their use of senior designations. [read post]
9 Sep 2021, 11:24 am
FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures According to the Financial Industry Regulatory Authority (FINRA) on September 7, 2021, the regulator has censured and fined Santander Investment Securities (CRD #37216) $175,000 for inaccurate and omitted disclosures. [read post]
25 Aug 2011, 9:10 am
In April 1997 and again in 2003, the New York Stock Exchange and FINRA (then the NASD) recommended that brokers subject to three or more complaints within a five year period ought to be placed upon heightened supervision. [read post]
17 Jun 2022, 6:00 am
As news of UBS’ arbitration losses spreads, we expect more investors to assert their legal rights by filing claims with FINRA. [read post]
7 Jan 2021, 11:53 am
February 2019 – FINRA Sanctions Kestra Financial for Mutual Fund Overcharges FINRA censured and fined Kestra Financial $225,000 and the firm had to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors over a nine-year period. [read post]
18 Jan 2024, 1:30 pm
FINRA fined the firm $20,000. [read post]
3 Jan 2021, 1:22 am
By December 2018, the SEC and FINRA announced formal investigations into GPB. [read post]
3 Jan 2021, 1:22 am
By December 2018, the SEC and FINRA announced formal investigations into GPB. [read post]
5 Jun 2024, 1:45 pm
FINRA Bars Crown Capital Brokers November 2022 – Hugh O. [read post]
25 Aug 2022, 10:59 am
FINRA Censures and fines Kovack Securities in connection with Short-term Mutual Fund Trading According to a Letter of Acceptance Waiver and Consent this week, the Financial Industry Regulatory Authority (FINRA) censured and fined Kovack Securities (CRD # 44848) $210,000 for supervisory failures. [read post]
15 Oct 2017, 11:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Glaser (Glaser), in September 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Glaser’s termination by National Panning Corporation (National Planning). [read post]
22 Sep 2018, 10:40 am
(UBS) in Birmingham, Michigan was barred by FINRA. [read post]
