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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]
19 Apr 2024, 8:47 am
., a Chicago-based securities, investment fraud, and investor rights law firm that offers victims representation on a contingency fee basis nationwide, continues to file FINRA Arbitration cases for aggrieved investors who have lost money in structured notes. [read post]
18 Apr 2024, 1:26 pm
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
16 Apr 2024, 3:28 pm
The post FINRA Fines Stifel Nicolaus Nearly $3M for Non-Traditional ETF Failures appeared first on Stoltmann Law. [read post]
16 Apr 2024, 1:32 pm
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
15 Apr 2024, 6:45 pm
In her FINRA lawsuit, this retiree is alleging unsuitability, negligence, misrepresentations and omissions, breach of fiduciary duty, gross negligence, due diligence failures, breach of contract, failure to supervise, and unjust enrichment. [read post]
11 Apr 2024, 4:57 am
On April 2 and 3, 2024, senior U.S. [read post]
10 Apr 2024, 1:59 pm
According to Gihan Fernando’s CRD, 26 of those FINRA arbitration claims, all filed between 2020 and 2024, resulted in settlements. [read post]
9 Apr 2024, 6:32 am
Principal Securities is also the subject of a separate FINRA arbitration claim based on the actions of the same representative. [read post]
5 Apr 2024, 1:06 pm
Trump and Trump Media are not the focus of these federal charges, investigation by financial watchdog FINRA, federal agencies (FBI, SEC, DHS) and the Miami Police’s financial crimes unit have resulted in charges against the group which acquired it. [read post]
4 Apr 2024, 10:23 am
FINRA Dispute Resolution FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial advisor. [read post]
4 Apr 2024, 4:00 am
On March 6, the SEC released its long-anticipated adopting release amending Rule 605.[1] Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, which requires member firms to provide Rule 606 reports to FINRA. [read post]
2 Apr 2024, 10:12 am
FINRA BrokerCheck Report – John Engler Sr. [read post]
1 Apr 2024, 7:39 am
Several investors have filed a request for a FINRA arbitration related to a $1.5 million misappropriation of funds that were not put in escrow, but given directly to Nightingale CEO Elie Schwartz. [read post]
1 Apr 2024, 7:16 am
FINRA then permanently barred Kinsey from any association with a FINRA member firm, effective February 13, 2024. [read post]
1 Apr 2024, 5:30 am
The post Reg BI Client Claims Double In 2023 As FINRA Arbitrations Jump 12% appeared first on Stoltmann Law. [read post]
