Search for: "Finra"
Results 8141 - 8160
of 18,154
Sort by Relevance
|
Sort by Date
22 Jun 2018, 2:04 pm
Kitts is not allowed to have any association with any FINRA member in any capacity. [read post]
22 Jun 2018, 1:34 pm
Continue reading The post Broker Adam Goodman Subject of FINRA Arbitration Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Jun 2018, 1:31 pm
In particular, a recent FINRA arbitration panel ruled in favor of a registered representative, and expunged his record. [read post]
22 Jun 2018, 1:07 pm
In sum, FINRA is finally updating an overworked and inefficient system. [read post]
22 Jun 2018, 9:38 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
22 Jun 2018, 3:32 am
Currently, multiple entities are working to register with the SEC and FINRA as broker-dealers and/or alternative trading systems capable of listing STOs and brokering related transactions. [read post]
21 Jun 2018, 12:16 pm
(CRD #13755) of Port Washington, NY Continue reading The post FINRA Examines Claim Against Aegis Broker James Mariani For Negligence appeared first on Securities Arbitration Lawyers Blog. [read post]
21 Jun 2018, 11:18 am
(CRD #6363), was barred by FINRA on 3/26/2018. [read post]
21 Jun 2018, 9:15 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
21 Jun 2018, 6:55 am
FINRA Disciplinary Report: June 2018Every month and every quarter, securities industry watchdog, the Financial Industry Regulatory Authority (FINRA) releases its report of disciplinary actions against FINRA registered broker-dealers and brokers. [read post]
21 Jun 2018, 3:15 am
” According to FINRA BrokerCheck, Mr. [read post]
20 Jun 2018, 3:44 pm
FINRA BrokerCheck indicates that Mr. [read post]
20 Jun 2018, 2:00 pm
Eckstein is currently the subject of a FINRA disciplinary complaint, filed on 04/27/2018. [read post]
20 Jun 2018, 10:07 am
The massive Ponzi scheme’s alleged orchestrators were all formerly registered with FINRA and employed by FINRA-registered firms, according to the SEC complaint. [read post]
20 Jun 2018, 9:51 am
The massive Ponzi scheme’s alleged orchestrators were all formerly registered with FINRA and employed by FINRA-registered firms, according to the SEC complaint. [read post]
20 Jun 2018, 8:18 am
In the game of chess, there's that "Touch-Move" rule that says that once you touch your piece, you must move it and no amount of begging, pleading, or arguing allows you to take the move back.After a Respondent had signed on the dotted line of a FINRA Acceptance, Waiver and Consent settlement, he had second thoughts -- or, as he would argue, FINRA reneged on the understanding that he and the regulator had entered into. [read post]
20 Jun 2018, 5:51 am
Under the NYSE Rule 408(a) and FINRA Rule 2510(b), without discretionary authority to trade the account, advisors are obligated to discuss all trades with the investor before executing them. . [read post]
19 Jun 2018, 10:21 am
” For FINRA’s full findings see FINRA case # 2017052705601. [read post]
19 Jun 2018, 8:41 am
FINRA states in the AWC that Farrah’s attorney sent a letter to FINRA on Farrah’s behalf. [read post]
18 Jun 2018, 9:50 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
