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26 May 2018, 10:10 am
In February, FINRA warned that scam artists were, “us[ing] FINRA’s name and logo in correspondence – including a fake signature from FINRA President and Chief Executive Officer Robert W. [read post]
25 May 2018, 11:57 am
On 12/8/2017, FINRA permanently barred former registered broker Kenneth Stewart Tyrell (CRD #2457452) from acting as a broker or having any affiliation with a broker-dealer firm. [read post]
25 May 2018, 11:51 am
Broker Ryan Michael Murnane (CRD #4784140) has been suspended by FINRA for failure to provide requested information. [read post]
25 May 2018, 11:35 am
Former Broker Charles Henry Frieda (CRD #5502319) has been barred after FINRA investigated more than 50 client allegations of improper investments. [read post]
25 May 2018, 11:30 am
(CRD #3004877) has been barred by FINRA after 57 customer disputes have been filed against him. [read post]
25 May 2018, 10:11 am
He defends financial and professional services clients, including lawyers, insurance and real estate agents and brokers, securities broker-dealers and advisers, accountants, and businesses covered under “miscellaneous” professional liability policies, throughout California and in the Financial Industry Regulatory Authority (FINRA). [read post]
25 May 2018, 8:40 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]
25 May 2018, 7:59 am
According to a recent Decision by the Financial Industry Regulatory Authority (FINRA), Aon D. [read post]
25 May 2018, 7:45 am
(FINRA Case #2015045703002) Mark Brian Degner (CRD #2364726, Shady Cove, Oregon) – An AWC (Accept, Waiver & Consent) was issued in which Degner was fined $7,500 and suspended from association with any FINRA member in all capacities for 20 business days. [read post]
25 May 2018, 7:45 am
(FINRA Case #2015045703002) Mark Brian Degner (CRD #2364726, Shady Cove, Oregon) – An AWC (Accept, Waiver & Consent) was issued in which Degner was fined $7,500 and suspended from association with any FINRA member in all capacities for 20 business days. [read post]
25 May 2018, 4:38 am
If your sale is considered a securities transaction by federal and state securities regulators, then an advisor that is a FINRA registered broker/dealer may be necessary. [read post]
24 May 2018, 1:52 pm
Voss, he consented to a permanent bar because he refused to answer questions levied by FINRA in connection with an ongoing investigation against him. [read post]
24 May 2018, 10:42 am
It may be possible to recover your losses through FINRA Arbitration. [read post]
24 May 2018, 9:09 am
Recovery of Investment Losses in Strategic Realty Trust The White Law Group continues to investigate FINRA arbitration claims involving Strategic Realty Trust f/k/a TNP Strategic Retail Trust. [read post]
24 May 2018, 7:42 am
US Attorney Charges Gary Basralian with fraud after FINRA bars him. [read post]
24 May 2018, 7:34 am
In a “fireside chat” at FINRA’s annual conference, FINRA president and CEO Robert Cook asked SEC Chairman Jay Clayton what the biggest surprises have been almost a year into his tenure as chairman. [read post]
23 May 2018, 1:05 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), EFG Capital violated securities laws. [read post]
23 May 2018, 10:03 am
For FINRA’s full findings see FINRA case # No. 2017053435501. [read post]
23 May 2018, 9:25 am
Bill gives FINRA that much. [read post]
23 May 2018, 9:10 am
FINRA is on the Wall Street beach again watching high flyin' kites -- or, put in more formal terms, we got another FINRA regulatory settlement involving a former Merrill Lynch registered rep accused of check kiting. [read post]
