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13 Apr 2018, 10:58 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
13 Apr 2018, 10:20 am
Learn more about filing for FINRA arbitration: Are You Eligible to File for FINRA Arbitration? [read post]
13 Apr 2018, 8:14 am
If you were a client of Scott Newsholme and SSI and suffered losses, The White Law Group may be able to help you by filing a FINRA arbitration claim. [read post]
13 Apr 2018, 2:32 am
Be that as it may, we have a ten-year-long pattern of conduct that FINRA doesn't quite like. [read post]
12 Apr 2018, 10:08 am
Additionally, FINRA’s rule 2010 requires that FINRA members always observe high standards of commercial honor and just and equitable principles of trade. [read post]
12 Apr 2018, 9:49 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 firm. [read post]
12 Apr 2018, 9:27 am
(FINRA Case #2015043587601) Jeffrey Collins Kinder (CRD #1442891, St. [read post]
12 Apr 2018, 9:27 am
(FINRA Case #2015043587601) Jeffrey Collins Kinder (CRD #1442891, St. [read post]
12 Apr 2018, 9:25 am
The FINRA arbitration claims process or class-action lawsuits can be used to recover damages associated with the margin blowouts. [read post]
12 Apr 2018, 7:22 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
12 Apr 2018, 3:50 am
Securities and Exchange Commission / Division of Trading and Markets No-Action Letter to FINRA: Third-Party Recordkeeping Services under Rule 17a-4 (SEC No-Action Letter to FINRA / April 12, 2018) https://www.sec.gov/divisions/marketreg/mr-noaction/2018/finra-041218-17a5.pdf READ the FULL TEXT NAL.In pertinent part, the NAL states:[C]ontractual provisions that would permit, among other things, a service provider to delete or discard records in the event of… [read post]
12 Apr 2018, 3:50 am
Be that as it may, we have a ten-year-long pattern of conduct that FINRA doesn't quite like. [read post]
11 Apr 2018, 3:42 pm
Investors who bought into EVEP upon a recommendation by their broker or financial advisor may be able to recover their losses in FINRA arbitration, in the event the recommendation to invest lacked a reasonable basis, or if the investment was solicited through a misleading sales presentation. [read post]
11 Apr 2018, 11:11 am
For FINRA’s full findings see FINRA case #2016051156901. [read post]
11 Apr 2018, 9:51 am
Please call us today to speak to an attorney for free about your options of suing Morgan Stanley in the FINRA arbitration forum. [read post]
11 Apr 2018, 8:34 am
In February of this year, FINRA issued a press release on this exact issue - "FINRA Warns Investors of 'Regulator' Imposter Scams. [read post]
10 Apr 2018, 2:20 pm
The post FINRA Award: UBS & Broker Michael J. [read post]
10 Apr 2018, 11:51 am
The Parking REIT Launches Internal Investigation The White Law Group continues to investigate the liability that FINRA registered brokerage firms may have for improperly selling high-risk REITs, like The Parking REIT, to investors. [read post]
10 Apr 2018, 10:33 am
According to FINRA Broker Check, Freimark has 25 customer complaints since 2011. [read post]
10 Apr 2018, 8:33 am
It is a sobering message.Case In PointFor 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, Bret Lee Niemuth submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
