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14 Mar 2018, 9:20 am
According to his online, FINRA BrokerCheck report available to the public, Thomas J. [read post]
14 Mar 2018, 6:48 am
According to FINRA records, Mr. [read post]
13 Mar 2018, 9:01 pm
FINRA Rule 2111 has long imposed on brokers a duty to offer only “suitable” securities. [read post]
13 Mar 2018, 11:32 am
According to FINRA, Mr. [read post]
13 Mar 2018, 8:09 am
The sanctions were based on findings that Werner willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Exchange 28 Disciplinary and Other FINRA Actions February 2018 Act Rule 10b-5, and violated FINRA Rule 2020 by churning and excessively trading three accounts belonging to a customer who was elderly, blind and in poor health. [read post]
13 Mar 2018, 3:48 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit http://www.whitesecuritieslaw.com. [read post]
12 Mar 2018, 12:37 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
12 Mar 2018, 11:44 am
” During the period Kaplan controlled the account, the client was diagnosed with dementia, according to FINRA. [read post]
12 Mar 2018, 10:49 am
In this case, proving that there is nowhere to hide in this world if you think you are too clever to be caught, here are the agencies cited as participating in that enforcement effort: SEC; US Attorneys in Alabama, New Jersey, New York, Virginia; US Department of Justice; FBI; US Postal Service; Homeland Security; Alabama Securities Commission; FINRA; Alberta Securities Commission; British Columbia Securities Division, Cayman Islands Monetary Authority; and regulatory commissions or… [read post]
12 Mar 2018, 9:27 am
“The FINRA has instated two new rules this week to combat financial abuse and fraud against the elderly and other vulnerable adults. [read post]
12 Mar 2018, 7:30 am
From a regulatory perspective, the CAT will represent a major advancement in the ability of the Commission and the national securities exchanges and FINRA to surveil the markets and protect investors, he said. [read post]
12 Mar 2018, 7:25 am
Barber after FINRA Award According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former broker David L. [read post]
12 Mar 2018, 7:17 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
12 Mar 2018, 3:29 am
FINRA Department of Enforcement, Complainant, v. [read post]
12 Mar 2018, 3:29 am
In a recent FINRA arbitration, we got a AllianceBerstein former employee who apparently found peace and happiness at Merrill Lynch, but ... [read post]
11 Mar 2018, 6:32 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]
9 Mar 2018, 12:21 pm
According to FINRA records, beginning in 1989, Mr. [read post]
9 Mar 2018, 8:24 am
I'm a loser.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2016, public customer Claimant Sharman asserted unsuitability; churning; unauthorized trading; breach of contract; securities fraud; fraud; failure to supervise; negligent supervision; respondeat superior; and breach of the covenant of good faith and fair dealing in connection with his investments in... [read post]
9 Mar 2018, 6:44 am
The FINRA panel awarded Mr. [read post]
9 Mar 2018, 6:11 am
Disturbing in that FINRA member firms seem all too willing to take on what we will euphemistically call "baggage. [read post]
