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18 Apr 2018, 10:02 am
FINRA does not categorize the cases in its database, so to assemble our list, we searched for words and phrases including “sexual harassment,” “hostile environment,” “sex,” “sexual,” and “harass.” Our analysis is based on FINRA arbitration awards, brokers’ regulatory records from FINRA and state securities... [read post]
18 Apr 2018, 7:53 am
NASAA has offered support for a FINRA proposal that would use FINRA’s Membership Application Program to incentivize the timely payment of arbitration awards. [read post]
18 Apr 2018, 7:25 am
According to his FINRA BrokerCheck report, Erb was registered with Liberty Partners Financial Services in Babylon, NY from April 2013 until May 2014. [read post]
18 Apr 2018, 6:58 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
17 Apr 2018, 5:19 pm
According to FINRA Brokercheck, Polese was registered with Morgan Stanley from May 2010 until he was fired last June. [read post]
17 Apr 2018, 2:19 pm
FINRA reportedly barred Michael Giokas from the securities industry last month for failure to respond to FINRA’s request for information in regards to Giokas’ recent criminal charges. [read post]
17 Apr 2018, 10:33 am
"Fast forward about 2,300 or so years and we leave the bloody field of Asculum and arrive at the more sedate setting of a FINRA arbitration hearing room. [read post]
17 Apr 2018, 9:59 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
17 Apr 2018, 7:50 am
According to his FINRA BrokerCheck report, Glaser was registered with National Planning Corp. in St. [read post]
16 Apr 2018, 12:42 pm
For FINRA’s full findings see FINRA case # NO. 2017053698501. [read post]
16 Apr 2018, 11:16 am
We have sued JP Morgan multiple times in FINRA arbitration claims. [read post]
16 Apr 2018, 11:00 am
According to Glick’s FINRA BrokerCheck report, he worked with Transamerica Financial Advisor in Orland Park, IL from January 2012 through March 2014 when he was discharged. [read post]
16 Apr 2018, 7:34 am
For FINRA’s full findings see FINRA case # 6628556. [read post]
16 Apr 2018, 5:56 am
I'm not sure whether it's fact or fiction, but I've heard that in Iran and China there's a "bullet fee," which is a bill sent by the government to the families of executed prisoners. [read post]
16 Apr 2018, 5:45 am
" He may not have won his case but he did get to end his lawsuit humming one helluva pop tune.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2017, Claimant Storm, representing himself pro so, asserted compensation; libel or slander on his Form U5; wrongful termination; and libel, slander or defamation. [read post]
15 Apr 2018, 6:58 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA... [read post]
15 Apr 2018, 6:10 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
13 Apr 2018, 2:05 pm
The firm’s lawyers will be very familiar with the FINRA arbitration rules, and extremely experienced in presenting their client’s defenses. [read post]
13 Apr 2018, 12:18 pm
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
13 Apr 2018, 11:42 am
You may be able to recover investment losses through FINRA Arbitration. [read post]
