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18 Jun 2018, 9:26 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]
18 Jun 2018, 8:39 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the tenth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
18 Jun 2018, 8:23 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses through FINRA Arbitration. [read post]
18 Jun 2018, 8:18 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
18 Jun 2018, 7:59 am
Under the FINRA Rules, advisors have an obligation to truthfully convey information to their clients and cannot exaggerate or mislead clients concerning the features or risks of securities being sold. [read post]
18 Jun 2018, 1:49 am
Paige Pierce For 2017 FINRA NAC Small Firm Member November 1, 2017As set forth on the Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
17 Jun 2018, 9:01 pm
FINRA’s Suitability Test: FINRA, the self-regulator of broker-dealers, imposes on brokers a duty to offer clients “suitable” investments. [read post]
17 Jun 2018, 9:33 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
16 Jun 2018, 1:49 pm
Claims may be brought in securities arbitration before FINRA. [read post]
16 Jun 2018, 1:49 pm
Claims may be brought in securities arbitration before FINRA. [read post]
16 Jun 2018, 5:42 am
The system, which underlies the BrokerCheck archive, is essentially a compliance interface for broker-dealers and the industry regulatory authority, FINRA. [read post]
15 Jun 2018, 12:38 pm
FINRA also alleged that in one case Lawing recommended an investment without speaking with the customer. [read post]
15 Jun 2018, 12:37 pm
Claims may be brought in securities arbitration before FINRA. [read post]
15 Jun 2018, 12:04 pm
For example, just last year FINRA adopted FINRA Rule 2165, which “enables a FINRA member (i.e., a broker-dealer) who has a reasonable belief that financial exploitation of a Specified Adult has occurred, is occurring, has been attempted, or will be attempted, to place a temporary hold on the disbursement of funds or securities from the Specified Adult’s account. [read post]
15 Jun 2018, 12:04 pm
For example, just last year FINRA adopted FINRA Rule 2165, which “enables a FINRA member (i.e., a broker-dealer) who has a reasonable belief that financial exploitation of a Specified Adult has occurred, is occurring, has been attempted, or will be attempted, to place a temporary hold on the disbursement of funds or securities from the Specified Adult’s account. [read post]
15 Jun 2018, 10:51 am
Instead, as alleged in the FINRA pleading, Hector May had wires sent and checks written directly to Executive Compensation Planners; created fictitious statements; and pocketed client funds. [read post]
15 Jun 2018, 10:51 am
Instead, as alleged in the FINRA pleading, Hector May had wires sent and checks written directly to Executive Compensation Planners; created fictitious statements; and pocketed client funds. [read post]
14 Jun 2018, 4:03 pm
According to McLaughlin’s FINRA BrokerCheck report, McLaughlin declared bankruptcy in August 2017. [read post]
14 Jun 2018, 4:01 pm
The complaint, filed in the Federal Court in December 2017, alleges that Perta was involved with a scheme to misappropriate investor money by FINRA-barred broker Daniel Glick (CRD# 2175655). [read post]
14 Jun 2018, 3:56 pm
According to Connor’s FINRA BrokerCheck report, in September 2017, a Raymond James customer brought a FINRA arbitration alleging unsuitable recommendations, negligent misrepresentation, breach of contract, negligence, and failure to supervise. [read post]
