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13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
19 Feb 2016, 5:34 am
Either way, for a FINRA registered representative, leaving their broker-dealer can be a nerve-wracking time. [read post]
15 Dec 2020, 7:20 am
Former broker Ray Gallette was registered with FINRA for 21 years and switched employers 11 times as reported on this FINRA Brokercheck page: Coastal Equities located in El Dorado Springs, Missouri January 4, 2013 – January 29, 2020 Sterling Enterprises Group located in St. [read post]
22 Sep 2020, 2:32 am
On September 9, 2020, without admitting or denying the findings that he participated in undisclosed and unapproved transactions, Kassaei signed the Acceptance Waiver and Consent form issued by FINRA which barred him from association with any FINRA member in any capacity indefinitely. [read post]
1 Feb 2012, 10:02 am
Eight percent of the non-pilot program cases were withdrawn, and 2 percent had some other outcome, labeled by FINRA as miscellaneous. [read post]
15 Dec 2020, 7:20 am
Former broker Ray Gallette was registered with FINRA for 21 years and switched employers 11 times as reported on this FINRA Brokercheck page: Coastal Equities located in El Dorado Springs, Missouri January 4, 2013 – January 29, 2020 Sterling Enterprises Group located in St. [read post]
22 Sep 2020, 2:32 am
On September 9, 2020, without admitting or denying the findings that he participated in undisclosed and unapproved transactions, Kassaei signed the Acceptance Waiver and Consent form issued by FINRA which barred him from association with any FINRA member in any capacity indefinitely. [read post]
15 Feb 2021, 11:26 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
13 Mar 2015, 12:00 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
2 Jul 2019, 8:21 am
We represent investors in FINRA arbitration claims in all 50 states, including Connecticut. [read post]
17 Oct 2020, 6:51 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
8 Feb 2021, 10:15 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
15 May 2020, 8:18 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
9 Apr 2019, 8:09 am
We represent investors in FINRA arbitration claims in all 50 states, including Wisconsin. [read post]
13 Feb 2017, 6:19 am
In September 2016,FINRA alleged that Mr. [read post]
30 Jun 2024, 7:05 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
10 Jun 2015, 9:23 am
FINRA found that the mismarked order tickets involved options and uncovered option trades. [read post]
10 Mar 2019, 11:26 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
16 Dec 2018, 11:23 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
