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10 May 2018, 10:58 am
Fortunately for investors, FINRA does provide for an arbitration forum for investors to resolve 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 can be found liable for investment losses in a FINRA arbitration claim. [read post]
10 May 2018, 9:46 am
As stated in an email from her attorney to FINRA staff on April 9, 2018, Chency-Jamison acknowledges FINRA’s request and allegedly refuses to provide information and documents as requested. [read post]
10 May 2018, 4:26 am
I'm not happy with my REIT investment . . . damn thing is illiquid . . . get me out of that dog as soon as you can.Okay, so, put your FINRA regulatory thinking caps on. [read post]
9 May 2018, 9:12 am
FINRA Sanctions Fifth Third Securities Inc., $4 Million Fine According to The Financial Industry Regulatory Authority (FINRA), the regulator has fined Fifth Third Securities Inc. $4 million and required the firm to pay approximately $2 million in restitution to customers for variable annuity exchange violations. [read post]
9 May 2018, 9:00 am
” For FINRA’s full finding see FINRA Case no. 2018058343001. [read post]
9 May 2018, 5:58 am
Second Circuit Sustains FINRA Bar in Variable Annuity Surrender Case (FINRA NAC Decision; SEC Opinion; and 2Cir Order):In the Matter of Department of Enforcement,Complainant, v. [read post]
8 May 2018, 1:36 pm
Shane Jason Kelly (CRD# 3152000) was recently suspended by FINRA. [read post]
8 May 2018, 12:35 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
8 May 2018, 10:54 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
8 May 2018, 9:28 am
On May 1, 2018, FINRA Department of Enforcement entered into a settlement via Acceptance, Waiver and Consent (“AWC”) with Respondent Laidlaw & Company (UK) LTD. [read post]
8 May 2018, 8:55 am
The post Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
8 May 2018, 8:53 am
The post FINRA Disciplinary Actions for April 2018 Name Individuals Barred for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
8 May 2018, 8:35 am
According to his broker report, Parris was suspended indefinitely from the industry in November 2015 for failing to cooperate with FINRA’s probe. [read post]
8 May 2018, 8:10 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
7 May 2018, 1:25 pm
Moscoso violated FINRA Rules 2150(a) and 2010 governing this kind of transaction. [read post]
7 May 2018, 1:16 pm
Craig Joseph Mardany (CRD#4356113), a currently registered FINRA broker and employed with Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Newport Beach, CA. [read post]
7 May 2018, 1:08 pm
LeVine is currently not registered with any FINRA member. [read post]
7 May 2018, 11:22 am
Dickinson, Trautman, Hudson Valley and Westor Capital have all been expelled by FINRA. [read post]
7 May 2018, 11:21 am
He is not currently registered as a broker, according to his online, FINRA BrokerCheck report. [read post]
7 May 2018, 10:32 am
The FINRA arbitration claim also alleges Cheney-Jamison used her relationship with the IBM Southeastern Employees Credit Union (“IBM”) in Cobb County, Georgia to solicit investors. [read post]
