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12 Jul 2018, 6:04 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Sandeep Varma (Varma). [read post]
12 Jul 2018, 6:01 am
Claims may be brought in securities arbitration before FINRA. [read post]
12 Jul 2018, 5:35 am
PUBLIC NOTICE to all FINRA Candidates for Board of Governors. [read post]
12 Jul 2018, 3:55 am
If the customers fail, the reps are forced to pursue FINRA's time consuming and expensive expungement process. [read post]
11 Jul 2018, 2:14 pm
Claims may be brought in securities arbitration before FINRA. [read post]
11 Jul 2018, 2:13 pm
For executing unauthorized trades, Destefano was found to be in violation of unauthorized NASD Conduct Rule 2510(b) and FINRA Rule 2010. [read post]
11 Jul 2018, 2:09 pm
FINRA provides this information to the public because it is material for consumers to know whether or not their advisor’s financial situation influences the advisor’s recommendations. [read post]
11 Jul 2018, 12:08 pm
If a broker-dealer makes unsuitable investment recommendations or fails to adequately disclose the risks associated with an investment they may be liable for investment losses through FINRA arbitration. [read post]
11 Jul 2018, 10:44 am
The Federal Senior Safe Act and FINRA's new Rule, 2165, both designed to protect the elderly, and how they create a potential "legal minefield" for financial advisors. [read post]
11 Jul 2018, 9:54 am
On the other hand, as evidenced in today's featured FINRA regulatory settlement, some folks are old-school and on this throwback Thursday, we got an old-fashioned bit of cut-and-paste and an even more prehistoric tracing! [read post]
11 Jul 2018, 9:30 am
According to his FINRA BrokerCheck report, Zullo was registered with LPL Financial from 2004 until he was dismissed in December 2016. [read post]
11 Jul 2018, 8:25 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
10 Jul 2018, 9:12 am
Voya may be held liable for alternative investment losses in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
10 Jul 2018, 3:57 am
FINRA MATTERS Enforcement FINRA Suspends a Member for Failure to Disclose Outside Business Activity. [read post]
9 Jul 2018, 2:06 pm
When a registered broker violates one (or more) of these rules and regulations, it is subject to discipline by FINRA, and investors who suffer losses as a result can seek to recoup their losses through FINRA arbitration. [read post]
9 Jul 2018, 12:59 pm
According to online records with FINRA, Bruce Mussel man is not currently registered within the securities industry. [read post]
9 Jul 2018, 12:46 pm
The post FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Jul 2018, 12:43 pm
The post Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Jul 2018, 12:37 pm
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
9 Jul 2018, 11:05 am
For FINRA’s full findings see FINRA case no. 2018058302101. [read post]
