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16 Nov 2016, 12:07 pm
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
7 Aug 2019, 8:29 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
4 Mar 2020, 12:48 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
1 Oct 2020, 10:01 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
10 Jun 2008, 5:23 pm
Source: Â FINRA Investor Alert [read post]
2 Sep 2020, 12:50 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, please visit https://www.whitesecuritieslaw.com. [read post]
8 Feb 2011, 11:09 am
Increasingly FINRA arbitrations in South Florida (Boca Raton, Fort Lauderdale) involve south Florida securities fraud lawyers litigating in FINRA arbitrations whether a financial advisor has breached his duty. [read post]
25 Mar 2011, 3:49 pm
FINRA is currently overseeing 4,560 brokerage firms and may be expanding its authority to investment advisers.Congress hasn’t yet selected from among the three options presented by the SEC. [read post]
3 Nov 2014, 4:04 am
FINRA recently sanction a registered representative for tweets made some time ago. [read post]
23 Aug 2019, 12:50 pm
According to the FINRA award, the investors alleged that UBS had violated Puerto Rico’s securities laws and FINRA rules. [read post]
2 Oct 2020, 8:40 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
1 Sep 2020, 10:05 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
19 Aug 2021, 11:39 am
FINRA also accused Cambridge of having insufficient supervisory systems. [read post]
20 Mar 2019, 11:18 am
According to Stephens’ FINRA BrokerCheck Report, he has been registered with 16 firms during his 17 years working in the securities industry. [read post]
17 Jul 2012, 10:07 am
Morgan Keegan has since moved to vacate the FINRA award. [read post]
12 Feb 2015, 6:49 am
For the full FINRA findings, see FINRA Case #2012034584301. [read post]
7 Mar 2019, 11:25 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
14 Oct 2014, 6:29 am
NASD Rule 3110 and FINRA Rule 4511 provide that members must preserve books and records. [read post]
1 Sep 2020, 10:12 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
2 Aug 2022, 3:50 am
Treasury securities market, and these dealers are not FINRA members in reliance on Rule 15b9-1. [read post]
