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16 Jul 2018, 7:32 am
FINRA prohibits brokers and firms from using customer’s funds or securities for improper use. [read post]
15 Jul 2018, 6:09 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
15 Jul 2018, 5:36 am
Another day, another FINRA arbitration, and another complaint from BrokeAndBroker.com Blog's publisher Bill Singer, Esq about the lack of quality control over FINRA's arbitration decisions. [read post]
13 Jul 2018, 11:39 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses in a FINRA arbitration claim. [read post]
13 Jul 2018, 11:20 am
He has seven customer disputes against him, four of which are currently pending, according to FINRA records available to the public. [read post]
13 Jul 2018, 10:25 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
13 Jul 2018, 9:21 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
13 Jul 2018, 7:27 am
As set forth in FINRA Regulatory Notice 18-16, the proposed amendments would allow FINRA disciplinary hearing panels to place restrictions on the activities of firms or brokers while matters are on appeal. [read post]
13 Jul 2018, 7:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Robin “Rob” Reading (Reading) appears to be an agent for Woodbridge fraudulent note sales. [read post]
13 Jul 2018, 7:17 am
In December 2017, FINRA barred James from the industry after James failed to provide FINRA with requested documents and information regarding these allegations and activities. [read post]
13 Jul 2018, 7:16 am
From August 2009 to July 2010, Arrieta was registered with Jesup & Lamont Securities Corp, which has been expelled by FINRA. [read post]
13 Jul 2018, 6:48 am
If it can be demonstrated that Morgan Stanley Smith Barney failed to properly supervise Barry Connell, the firm may be held responsible for investment losses in a FINRA arbitration claim. [read post]
13 Jul 2018, 6:00 am
Though the notice outlines what constitutes cryptocurrency activities, it does not detail how FINRA would use these disclosures nor does its website show any explanation. [read post]
13 Jul 2018, 5:51 am
Recovery of Investment Losses in Northstar Healthcare Income REIT The White Law Group continues to investigate FINRA arbitration claims involving Northstar Healthcare Income REIT. [read post]
13 Jul 2018, 5:39 am
For FINRA’s full findings see FINRA case number 2018058538001. [read post]
12 Jul 2018, 10:07 am
(FINRA Case #2015045984001) Mark Kaplan (CRD #1978048, Merrick, New York) – An AWC (Accept, Waiver & Consent) was issued in which Kaplan was barred from association with any FINRA member in all capacities. [read post]
12 Jul 2018, 10:07 am
(FINRA Case #2015045984001) Mark Kaplan (CRD #1978048, Merrick, New York) – An AWC (Accept, Waiver & Consent) was issued in which Kaplan was barred from association with any FINRA member in all capacities. [read post]
12 Jul 2018, 9:35 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit http://www.whitesecuritieslaw.com. [read post]
12 Jul 2018, 8:00 am
According to FINRA Brokercheck, Peterson worked for Morgan Stanley since he began his career in the financial industry in 2011. [read post]
12 Jul 2018, 7:53 am
FINRA Censures Cetera for barred brokers’ outside activities. [read post]
