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9 Mar 2018, 6:01 am
FINRA alleged that the firm failed to maintain its requisite minimum Net Capital. [read post]
8 Mar 2018, 2:16 pm
According to FINRA BrokerCheck, Mr. [read post]
8 Mar 2018, 1:55 pm
” FINRA also expressed concern that “many investors may misunderstand the operation of, and reason for, margin calls. [read post]
8 Mar 2018, 7:21 am
(FINRA Case #2016050260001) Summit Brokerage Services, Inc. [read post]
8 Mar 2018, 6:57 am
If a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be liable for investment losses through FINRA arbitration. [read post]
8 Mar 2018, 6:44 am
Senator Warren wants to make FINRA Accountable for Unpaid Arbitration Awards According to reports, Senator Elizabeth Warren (D – Mass.) recently introduced legislation that would require the Financial Industry Regulatory Authority (FINRA) to create a pool to cover unpaid FINRA awards using money collected from penalties FINRA collects from its member firms. [read post]
8 Mar 2018, 5:46 am
FINRA is supposed to be looking out for them, not the brokers and dealers who cheat them. [read post]
8 Mar 2018, 5:26 am
Pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”), accepted by FINRA on or about January 26, 2018, Mr. [read post]
7 Mar 2018, 11:11 am
Donna Barnard was also registered with HD Vest in Kilgore, Texas from August 2014 until May 2017, according to FINRA. [read post]
7 Mar 2018, 10:31 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
7 Mar 2018, 10:30 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
7 Mar 2018, 9:34 am
This is according to her online, public BrokerCheck report with FINRA. [read post]
6 Mar 2018, 12:21 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a customer of Christopher Bennett of Hillard Lyons damages of $445,000 after the claimant alleged Bennett engaged in breach of fiduciary duty, unauthorized trading, suitability, churning, misrepresentation, omission of facts, common law negligence, fraud, failure to supervise, common law negligent supervision and violation of Kentucky statutes, regulations and FINRA rules. [read post]
6 Mar 2018, 12:14 pm
Contact Our Firm if You’ve Invested with Patrick Maddren If you invested with Patrick Maddren and believe you have lost money due to his misconduct, you may be able to file a claim to recover your losses through FINRA arbitration. [read post]
6 Mar 2018, 11:24 am
Rideaux first became associated with a FINRA member firm in 2007 as a registered representative. [read post]
6 Mar 2018, 9:21 am
They must ensure they are complying with FINRA rules. [read post]
6 Mar 2018, 8:13 am
According to FINRA Disciplinary actions for February 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Florjan Beqo J.P. [read post]
6 Mar 2018, 8:07 am
According to FINRA Disciplinary actions for February 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick John Auckland TIAA-CREF Individual & Institutional Services, LLC Morgan Stanley Michael Albert DiPietro Transamerica Financial Advisors, Inc. [read post]
6 Mar 2018, 8:02 am
According to FINRA Disciplinary actions for February 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Stephen Robert Adams BBVA Securities Inc. [read post]
6 Mar 2018, 5:23 am
FINRA also reportedly ordered UBS-PR to pay approximately $11 million in restitution to 165 customers who suffered losses on their CEFs. [read post]
