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23 May 2018, 7:29 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses in a FINRA arbitration claim. [read post]
22 May 2018, 1:32 pm
Case (PDF) HOWEYCOINS, Investor.gov More Blog Posts: Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives, Stockbroker Fraud Blog, March 24, 2018 Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud, Stockbroker Fraud Blog, February 26, 2018 SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for Over $1M in Kickbacks, Stockbroker Fraud Blog, January 2, 2018 The post… [read post]
22 May 2018, 8:45 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
22 May 2018, 8:11 am
FINRA’s Haime Workie agreed that improvements will be most dramatic in inefficient markets. [read post]
21 May 2018, 12:56 pm
Assured Again Sues Puerto Rico, board over fiscal plan, Reuters, May 23, 2018 The GAO Report (PDF) Related Blog Posts:Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securities, Stockbroker Fraud Blog, May 22, 2017 FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim, Stockbroker Fraud Blog, March 22, 2018 Hedge Funds Get Rid of Puerto Rico General Obligation Bonds After Hurricane Maria, Stockbroker Fraud Blog, November 22, 2017 The post Assured… [read post]
21 May 2018, 12:18 pm
KBS REIT II – KBS Real Estate Investment Trust II – Investment Losses The White Law Group continues to investigate FINRA arbitration claims involving KBS REIT II. [read post]
21 May 2018, 12:08 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
21 May 2018, 10:10 am
The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
21 May 2018, 10:07 am
Are You Entitled to Financial Compensation through FINRA? [read post]
21 May 2018, 5:28 am
Ty Cobb's career batting average was .3664 and Rogers Hornsby's was .3585. [read post]
21 May 2018, 4:49 am
It's gotta be FINRA's favorite mistake and quite the money maker! [read post]
21 May 2018, 3:30 am
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3985/finra-awc-deceased/Regardless of the business that you're in, if you have clients, they can and do die. [read post]
19 May 2018, 10:05 am
Is the broker or advisor registered with FINRA or licensed by the SEC? [read post]
18 May 2018, 12:50 pm
ICFBCFS and Chardan Capital Markets Accused of Anti-Money Laundering FINRA has fined the Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3M for “systemic anti-money laundering compliance failures. [read post]
18 May 2018, 12:14 pm
Not long before that, Winter had been suspended by FINRA for selling unregistered promissory notes that went sour. [read post]
18 May 2018, 11:35 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
18 May 2018, 7:53 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
17 May 2018, 2:05 pm
Based on FINRA’s BrokerCheck report on Lavigne, a complaint was filed on December 4, 2017 alleging that Lavigne provided misleading information to investor clients during his employment at Spencer Edwards, Inc. [read post]
17 May 2018, 1:47 pm
Based on FINRA’s BrokerCheck report on Schmidt, a complaint was filed on October 9, 2007 alleging that Schmidt caused an investor client upwards of $500,000 worth of damages due to failing to provide due diligence and theft during his employment at Stifel Nicolaus & Company, Inc. and Wells Fargo Advisors Financial Network LLC. [read post]
17 May 2018, 1:39 pm
According to FINRA records, Hector May lost his job as a FINRA- registered broker-dealer for Securities America Inc. due to allegations of misappropriation. [read post]
