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31 Dec 2014, 6:45 am
Under the FINRA rules, a brokerage firm owes a duty to properly monitor and supervise its employees. [read post]
12 Nov 2019, 10:35 am
We represent investors in FINRA arbitration claims in all 50 states, including Colorado. [read post]
26 Jul 2016, 9:43 am
FINRA alleged that Langweiler also provided inaccurate and incomplete responses regarding liens and judgments to his employer and he provided inaccurate responses to FINRA. [read post]
10 May 2017, 10:30 am
FINRA Charges Walter J. [read post]
21 Jan 2020, 12:12 pm
FINRA says in the AWC that the firm did compensate the clients who were disadvantaged by the two brokers. [read post]
8 Jan 2020, 7:39 am
We represent investors in FINRA arbitration claims in all 50 states, including Florida. [read post]
20 Jul 2018, 6:04 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration Claim. [read post]
8 Jul 2019, 7:59 am
We represent investors in FINRA arbitration claims in all 50 states. [read post]
17 Mar 2014, 6:06 am
These suitability principles were recently enforced in a FINRA action against broker Aaron Hurst (Hurst) of Edward Jones. [read post]
17 Dec 2020, 5:06 am
FINRA Cracks down on Excessive Trading in 2021 According to Christopher Kelly, FINRA’s deputy head of enforcement, there will be more cases through 2021 brought by FINRA for excessive trading, and also against firms for failing to supervise., at a Practising Law Institute conference on broker-dealer regulation. [read post]
21 May 2019, 8:48 am
The former America Northcoast Securities broker settled with FINRA without denying or admitting to its findings. [read post]
9 Jun 2018, 1:04 pm
FINRA suspended Sica for three months. [read post]
10 Sep 2019, 7:08 am
We represent investors in FINRA arbitration claims in all 50 states, including Georgia. [read post]
19 Feb 2021, 4:58 pm
” FINRA and the U.S. [read post]
31 Mar 2015, 6:27 am
FINRA alleged that Foothill’s supervisory procedures were deficient in many ways. [read post]
3 May 2016, 9:46 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined MetLife Securities, Inc. [read post]
6 Sep 2022, 6:37 am
Claims may be brought in securities arbitration before FINRA. [read post]
25 May 2017, 7:05 am
FINRA also states that the company has a limited operating history and it not yet profitable. [read post]
26 Oct 2017, 4:21 am
Claims may be brought in securities arbitration before FINRA. [read post]
25 Oct 2019, 9:31 am
FINRA has also reportedly suspended Yellen for one year. [read post]
