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18 May 2017, 7:22 am
(FINRA Case #2016048760501) Edward D. [read post]
25 Mar 2024, 9:25 am
27 FINRA Lawsuits Allege Unsuitable Recommendations Shepherd Smith Edwards and Kantas (investorlawyers.com) are investigating portfolio loss claims by former customers of ex-Arizona stockbroker Luke Michael Johnson. [read post]
23 Aug 2016, 2:43 pm
Baffa’s FINRA records indicate that in 2006, Mr. [read post]
22 Sep 2022, 12:25 pm
Two other Joseph Stone representatives were barred for not responding to FINRA’s requests for more information in its investigation. [read post]
29 Jun 2016, 8:58 am
PIABA President Hugh Berkson notes that the BrokerCheck system developed by FINRA provides incomplete, and therefore misleading, information to investors. [read post]
14 Jul 2017, 1:03 pm
Among the claims made were those for fraud, violations of state and federal securities laws and violations of FINRA’s rules. [read post]
1 Nov 2017, 7:54 pm
FINRA’s allegations against Financial West Investment Group concerned the firm’s role in collecting and placing private placement securities without the use of an escrow account, which is a violation of industry rules. [read post]
13 Jan 2020, 10:51 am
Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Oct 2020, 7:39 am
You may have grounds for a FINRA arbitration claim to recover damages. [read post]
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
9 Oct 2020, 10:16 am
Four of these firms were expelled by FINRA. [read post]
11 Jan 2019, 7:58 am
Pagartanis was barred from association with any FINRA member in all capacities. [read post]
23 Aug 2016, 2:43 pm
Baffa’s FINRA records indicate that in 2006, Mr. [read post]
15 Aug 2011, 1:43 pm
As proposed, the reexamination waiver would be granted for applicants who completed the required examinations and whose registration with FINRA and with another securities regulator has not lapsed for more than two years. [read post]
14 Dec 2011, 7:47 am
Barney Frank, the Investment Adviser Association, and the North American Securities Administrators Association (NASAA) (the association of state securities regulators), which opposes FINRA-style “self-regulation” and advocates independent state and federal oversight. [read post]
29 Mar 2012, 6:22 am
If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
3 Jun 2010, 5:00 am
Securities and Exchange Commission (SEC) published for public comment a FINRA Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System. [read post]
Illinois Adopts by Emergency Written Exam for Salespersons Dealing Exclusively in Investment Banking
29 Mar 2011, 8:50 am
FINRA is added to a definitions rule and replaces the NASD in the salesperson exam rule. [read post]
6 Jun 2014, 10:01 am
Eligible topics include any aspect of securities law, securities arbitration, the Federal Arbitration Act, or the FINRA Code of Arbitration. [read post]
8 Jan 2009, 1:24 pm
You can easily check a broker's employment and disciplinary history online at FINRA BrokerCheck Website or call the BrokerCheck Hotline at (800) 289-9999. [read post]
17 Nov 2010, 1:25 pm
Adding new solicitation and custody rules for investment advisers, modifying licensing exam requirements for sales and investment adviser representatives, providing a time frame for abandoning licensing applications, and changing NASD to FINRA to reflect the current name of the organization were the amendments adopted by the Colorado Securities Division, effective 11-30-2010.For more information, please see http://www.dora.state.co.us/securities [read post]
