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26 Dec 2018, 12:51 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
3 Nov 2021, 11:43 am
A separate FINRA panel awarded Houston investor Daniel Ferber the full $358,000 in damages he had sought, but denied his requests for interest and fees and costs. [read post]
18 May 2011, 2:20 pm
Nonetheless, the firm consented to the entry of FINRA’s findings. [read post]
21 Oct 2017, 2:23 am
In 2016, he was barred from FINRA. [read post]
15 Jan 2019, 7:19 am
According to the FINRA BrokerCheck, there have been complaints against George Mathis. [read post]
22 Jun 2016, 2:23 pm
Finra alleged that Halla engaged in short-term trading of new closed-end funds in 20 customer accounts during 2010 and 2011. [read post]
28 Mar 2018, 12:33 pm
In Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
8 Feb 2010, 6:46 am
" FINRA does suggest some tips to avoid these scams. [read post]
8 Feb 2010, 6:46 am
" FINRA does suggest some tips to avoid these scams. [read post]
11 Jun 2012, 3:41 pm
TweetLast week the Securities and Exchange Commission approved an amended version of new FINRA Rule 5123. [read post]
4 Apr 2012, 7:05 am
The Florida securities lawyers at McCabe Rabin, P.A. represent investors nationwide in FINRA arbitration matters. [read post]
13 Apr 2022, 1:22 pm
It was also alleged by FINRA that David made 538 unauthorized trades in eight client accounts. [read post]
8 May 2020, 6:42 am
The SEC, FINRA, and NASAA all warn about issues related to these non-traded REITs. [read post]
27 May 2014, 6:04 am
A three-member FINRA panel considered Stone’s case and unanimously ruled in favor of the investment firm. [read post]
23 Nov 2020, 2:14 pm
Unfortunately, brokers do violate FINRA rules and borrow from their customers. [read post]
8 Jun 2015, 8:42 am
According to FINRA, the agency began investigating Veale in January 2015. [read post]
24 Aug 2018, 9:08 am
In March 2018, FINRA found that Kaplan violated the securities laws and FINRA rules by churning and engaging in unsuitable excessive trading in the brokerage accounts of a senior customer. [read post]
25 Jun 2020, 8:24 am
Claims may be brought in securities arbitration before FINRA. [read post]
22 Dec 2010, 9:22 am
On October 26, 2010, FINRA filed a rule proposal with the SEC that would allow all investors filing arbitration claims the option of having an all-public panel in arbitration claims filed before FINRA, to which of course, the securities industry vehemently opposes. [read post]
1 Jun 2020, 9:14 am
Stow’s publicly-available FINRA BrokerCheck report lists three disclosures: October, 2019: Stow was indefinitely barred in all capacities from associating with any FINRA member after he failed to respond to a FINRA request for information. [read post]
