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4 Apr 2018, 3:11 am
Among the more difficult roles that I have as the publisher of the BrokeAndBroker.com Blog is to present an analysis of a case in which I am troubled by the facts and angered by the decision. [read post]
3 Apr 2018, 8:06 am
For FINRA’s full findings, see FINRA case number 2016052579701. [read post]
3 Apr 2018, 7:44 am
Investors in the Triloma EIG Energy Income Fund (the “Triloma Perpetual Fund”) and the Triloma EIG Energy Income Fund – Term I (the “Triloma Term Fund”) (collectively, the “Triloma Funds”) may be able to recover their investment losses through FINRA arbitration, in the event that the investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the… [read post]
3 Apr 2018, 7:11 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a FINRA arbitration claim. [read post]
3 Apr 2018, 7:09 am
FINRA Settles Failure to Supervise Case (FINRA Offer of Settlement) In response to the filing of a Complaint on December 12, 2018, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Jeffery Allen Fanning submitted an Offer of Settlement dated March 19, 2018, which the regulator accepted. [read post]
3 Apr 2018, 6:45 am
He is not currently registered as a broker, according to his online, public profile with FINRA’s BrokerCheck. [read post]
3 Apr 2018, 6:44 am
According to online, FINRA records, Mr. [read post]
2 Apr 2018, 12:12 pm
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
2 Apr 2018, 8:17 am
The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly selling high-risk BDCs, like FS Energy & Power Fund, to investors. [read post]
2 Apr 2018, 8:13 am
The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly selling high-risk REITs, like The Parking REIT, to investors. [read post]
2 Apr 2018, 7:14 am
FINRA decided to propose this new rule after a “retrospective review of FINRA’s rules governing outside business activities and private securities transactions, FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person). [read post]
2 Apr 2018, 6:54 am
The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly selling high-risk REITs, like KBS REIT II, to their clients. [read post]
31 Mar 2018, 10:46 am
The Securities and Exchange Commission (SEC) has alleged, that, in 2013 and 2014, Caldwell, and Gregory Alan Smith, a financial planner whom the Financial Industry Regulatory Authority (FINRA) barred from the industry in 2010, targeted vulnerable and elderly investors into purchasing the bonds. [read post]
31 Mar 2018, 10:42 am
For this, he was barred from the industry by the FINRA panel. [read post]
31 Mar 2018, 10:40 am
We do so in the FINRA arbitration forum, so call us today for a free consultation to find out how. [read post]
30 Mar 2018, 3:41 pm
Delorme’s alleged involvement in the scheme, including a customer email outlining her involvement, as well as several FINRA arbitrations regarding her penny stock trading activity. [read post]
30 Mar 2018, 3:31 pm
” On Wednesday, March 28, FINRA announced a fine of $550,000 against Aegis for its alleged supervisory failures. [read post]
30 Mar 2018, 3:22 pm
” Further, FINRA reports that Mr. [read post]
30 Mar 2018, 2:38 pm
Wedbush failed to flag these high risk, unsuitable penny stock transactions, and failed to halt this fraudulent kickback scheme despite multiple FINRA inquiries regarding Delorme’s penny stock trading activity, and a customer complaint email to Wedbush detailing the specific scheme Delorme was engaged in. [read post]
30 Mar 2018, 2:38 pm
Wedbush failed to flag these high risk, unsuitable penny stock transactions, and failed to halt this fraudulent kickback scheme despite multiple FINRA inquiries regarding Delorme’s penny stock trading activity, and a customer complaint email to Wedbush detailing the specific scheme Delorme was engaged in. [read post]
