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29 Jun 2018, 10:10 am
Discussion with FINRA Regarding Trading System – we have not talked directly with FINRA about their review of ATS platforms. [read post]
29 Jun 2018, 10:05 am
Free Consultation The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
29 Jun 2018, 8:42 am
Carlos Evertsz-Seda is barred from association with any FINRA member in any capacity. [read post]
29 Jun 2018, 8:35 am
FINRA’s findings stated that the value of a joint account of two clients served by Blattner allegedly declined by approximately $75,000. [read post]
29 Jun 2018, 8:28 am
We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter D. [read post]
29 Jun 2018, 7:58 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
29 Jun 2018, 7:48 am
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser Vicente Davila, who has received a customer dispute, was discharged from Morgan Stanley in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. [read post]
29 Jun 2018, 7:26 am
Financial Industry Regulatory Authority (FINRA) CRD records show that Oklahoma-based Wells Fargo Clearing Services broker/adviser David Ridenour has received resolved or pending customer disputes. [read post]
29 Jun 2018, 6:57 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2017, Claimant Pannecouk asserted failure to supervise, common law negligence, breach of contract, breach of fiduciar... [read post]
29 Jun 2018, 5:00 am
According to FINRA BrokerCheck, Mr. [read post]
28 Jun 2018, 2:36 pm
Additionally, the analysis shows that half of the firms expelled by FINRA since 1993 sold private placements, despite comprising a lesser amount of the total industry. [read post]
28 Jun 2018, 2:36 pm
Additionally, the analysis shows that half of the firms expelled by FINRA since 1993 sold private placements, despite comprising a lesser amount of the total industry. [read post]
28 Jun 2018, 2:30 pm
Santillo and Parris (each formerly registered with FINRA) would coordinate their sales efforts with Defendants, including John Piccarreto, Jr., in order to allegedly persuade victims into withdrawing savings from traditional investments, in order to transfer the capital into issuers controlled by Messrs. [read post]
28 Jun 2018, 2:11 pm
As of 05/10/2018, FINRA permanently barred Hibbard from associating with any FINRA member in any capacity. [read post]
28 Jun 2018, 2:00 pm
On or about 03/20/2018, Blattner was suspended by FINRA for 15 days after an inquiry into his business practices. [read post]
28 Jun 2018, 1:52 pm
He is not currently registered with any FINRA-affiliated broker. [read post]
28 Jun 2018, 1:00 pm
Schmidt began his industry career in 1980, but is not currently registered with any FINRA broker. [read post]
28 Jun 2018, 11:56 am
Federal securities laws and the FINRA rules require firms to monitor and supervise its employees, like Brooks, in order to detect and prevent brokers from offering investments in this fashion. [read post]
28 Jun 2018, 11:56 am
FINRA Rules require representations to investors be balanced in light of all the information being provided to the investor. [read post]
28 Jun 2018, 11:32 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
