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26 Jul 2018, 11:45 am
All FINRA firms have the duty to supervise their brokers. [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
26 Jul 2018, 11:40 am
All brokers, who do not have discretionary authority to trade an account, are under an obligation to first discuss trades with the investor before executing them under NYSE Rule 408(a) and FINRA Rules 2510(b). [read post]
26 Jul 2018, 10:32 am
If Ellis fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 31, 2018 from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h). [read post]
26 Jul 2018, 7:22 am
In a recent FINRA arbitration we start with four respondents, and then, almost magically, we end with one. [read post]
26 Jul 2018, 7:11 am
(FINRA Case #2017054146302) Matthew Evan Eckstein (CRD #2997245, Syosset, New York) – Eckstein was named a respondent in a FINRA complaint alleging that he sold over $1.3 million of “investments” that were neither described in any written materials nor memorialized in a note or other agreement. [read post]
26 Jul 2018, 6:50 am
This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
25 Jul 2018, 1:59 pm
David Barber (CRD #1165082) was barred from association with any FINRA member in all capacities. [read post]
25 Jul 2018, 1:48 pm
Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. [read post]
25 Jul 2018, 12:52 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
25 Jul 2018, 11:25 am
According to FINRA BrokerCheck, Aegis’ regulatory history includes a total of thirty (30) disclosure events, a number of which involve penny stocks. [read post]
25 Jul 2018, 11:15 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
25 Jul 2018, 9:32 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
25 Jul 2018, 8:37 am
These are both easy to spot, problematic trading patterns that the brokerage compliance groups should have spotted and flagged for FINRA and the SEC. [read post]
25 Jul 2018, 7:28 am
This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
24 Jul 2018, 1:40 pm
FINRA Awards Our Clients Damages Due to Curtis D. [read post]
24 Jul 2018, 10:59 am
As a result of the violation, FINRA imposed a suspension of 18 months, a $20,000 fine and a restitution fee of $716,749.78 to remedy the customer losses. [read post]
24 Jul 2018, 10:54 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
24 Jul 2018, 10:01 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
24 Jul 2018, 9:48 am
” Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
