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23 Jun 2009, 3:07 pm
(FINRA also provides a forum for intra-industry disputes that do not involve investors.) [read post]
11 Apr 2011, 10:50 am
A FINRA arbitration panel recently awarded more than $2.2 million to an investor in FINRA arbitration against UBS Financial Services related to the sale of the Lehman principal protected notes. [read post]
13 Nov 2015, 7:27 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
29 Oct 2019, 8:56 am
Last week, a New York City panel of arbitrators with the Financial Industry Regulatory Authority (FINRA) unanimously awarded an investor represented by Malecki Law over $200,000 in damages, plus attorneys’ fees of $67,000 and 5% interest dating back to May 2018. [read post]
6 Jan 2019, 11:58 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
16 Apr 2019, 4:25 am
We represent investors in FINRA arbitration claims in all 50 states, including Ohio. [read post]
16 Nov 2020, 11:31 am
While 20 complaints were reportedly settled, 2 are still pending and 1 complaint from 2000 was closed/no action, according to FINRA. [read post]
1 Oct 2020, 7:53 am
The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly recommending Riverdale Multifamily DST to investors. [read post]
11 Mar 2019, 4:25 pm
” Free Consultation This information is publicly available on FINRA’s website and is provided to you by The White Law Group. [read post]
4 Jun 2018, 11:17 am
” Donnell Bowen has 13 customer disputes listed on his FINRA BrokerCheck report. [read post]
30 Oct 2013, 11:47 am
FINRA classifies TIC investment as a non-conventional investment (“NCI”). [read post]
14 Oct 2015, 7:51 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
6 Mar 2020, 1:58 pm
We represent investors in FINRA arbitration claims in all 50 states. [read post]
15 Oct 2015, 6:21 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
13 Apr 2018, 11:42 am
You may be able to recover investment losses through FINRA Arbitration. [read post]
14 Nov 2019, 10:02 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
13 Jun 2018, 10:30 am
According to his FINRA Broker Check report, Eckstein has been a registered advisor with SISK Investment Services in Syosset, NY since 2015. [read post]
13 Nov 2019, 1:04 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
19 Jul 2019, 9:30 am
We represent investors in FINRA arbitration claims in all 50 states, including North Carolina. [read post]
1 Jun 2022, 7:03 am
Stockbrokers Have A Duty To observe High Standards Of Honor It’s also significant to note FINRA’s Rule 2010, which is like the flip-side of Rule 2020. [read post]
