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3 May 2024, 12:31 pm
The collapse of GWG Holdings and their L-Bonds has led to many FINRA arbitration claims filed by investors. [read post]
3 May 2024, 11:49 am
On March 14, 2024, FINRA suspended Adusei from association with any member. [read post]
2 May 2024, 12:35 pm
As a result, RBC violated FINRA Rules 3110 and 2010. [read post]
1 May 2024, 10:16 pm
FINRA also barred Komarow in June 2023 for similar allegations. [read post]
1 May 2024, 11:11 am
In their FINRA lawsuit, our clients are claiming misrepresentations and omissions, gross mismanagement, negligence, and breach of fiduciary duty that we believe led to not just lost savings but also lost growth of said savings during a period when the markets reached all-time highs. [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
30 Apr 2024, 7:06 pm
He left after his former customers filed more than a dozen FINRA lawsuits. [read post]
30 Apr 2024, 5:41 am
” Among the risks identified by FINRA are the lack of liquidity, and that an investor may lose some or all of their principal on the happening of an ill-defined (and supposedly unlikely) event in the future. [read post]
29 Apr 2024, 1:40 pm
Egber, who currently works at Egber-Lopez Investment Group, accepted FINRA’s findings without admitting or denying them, according to FINRA. [read post]
29 Apr 2024, 5:52 am
By Anne Sherry, J.D.Two crypto industry groups are suing the SEC over the agency’s Dealer Rule, which requires market participants who perform dealer functions to register with the Commission and join FINRA and the SIPC. [read post]
22 Apr 2024, 1:15 pm
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended 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. [read post]
22 Apr 2024, 12:35 pm
What Is FINRA Rule 9554? [read post]
22 Apr 2024, 11:39 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
20 Apr 2024, 9:05 pm
The FINRA Board oversees and provides advice and guidance to management in its administration of FINRA’s affairs. [read post]
19 Apr 2024, 7:15 pm
The case, filed in FINRA Arbitration, alleges that the B. [...] [read post]
19 Apr 2024, 2:04 pm
According to FINRA Disciplinary actions for April 2024, 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 Vinessa Christian UBS Financial Services Inc. [read post]
19 Apr 2024, 1:43 pm
According to FINRA Disciplinary actions for March 2024, 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 Gabriela Alfaro Charles Schwab & Co., Inc. [read post]
19 Apr 2024, 1:34 pm
According to FINRA Disciplinary actions for March 2024, the following individuals were suspended 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. [read post]
19 Apr 2024, 1:23 pm
What Is FINRA Rule 9554? [read post]
19 Apr 2024, 9:27 am
April 19, 2024 Clients, Friends, and Associates: As we end the first quarter and enter the spring season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]
