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5 Mar 2018, 3:55 pm
(“SRT”) may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their SRT 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 financial advisor. [read post]
5 Mar 2018, 1:47 pm
Palm Beach County is home to a large retirement community and FINRA arbitration claims are generally heard in FINRA’s Boca Raton office. [read post]
5 Mar 2018, 1:35 pm
According to the Financial Industry Regulatory Authority (“FINRA”), Dillon’s FINRA BrokerCheck record shows a pending customer dispute alleging claims of unsuitable concentration in connection with the purchase of Puerto Rico municipal bonds. [read post]
5 Mar 2018, 1:32 pm
Andrew Stoltmann discuss with Investment News Merrill Lynch’s “disingenuous” attempts to slither off the hook and have claims filed by former firm executives heard in court rather than in the FINRA arbitration forum. [read post]
5 Mar 2018, 1:30 pm
If so, this Sun City, Arizona-based company can be sued in the FINRA arbitration forum or through a class action lawsuit to recover damages. [read post]
5 Mar 2018, 1:29 pm
If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of bringing a claim against the firm in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
5 Mar 2018, 1:28 pm
This is all according to his online, public BrokerCheck report with FINRA. [read post]
5 Mar 2018, 1:23 pm
FINRA Broker Disciplinary Action Report February 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
5 Mar 2018, 8:21 am
According to public records with the Financial Industry Regulatory Authority (FINRA), Leslie Koonce allegedly received regulatory sanctions against him. [read post]
4 Mar 2018, 5:40 am
FINRA rejected the actions citing its rules forbidding class and collective arbitrations. [read post]
4 Mar 2018, 5:39 am
.”As set forth in “Notice to Members 18-08 (February 26, 2018): Outside Business Activities/ FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions,” proposed FINRA Rule 3290. [read post]
4 Mar 2018, 5:39 am
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3857/bill-singer-oba-pst/FINRA should not require registered persons to notify their member firms of a mere “intention” or “preparation” to open their own BD or RIA. [read post]
4 Mar 2018, 5:39 am
Let's assume that a FINRA member firm fires its Chief Compliance Officer at 3 p.m. on February 8, 2018. [read post]
4 Mar 2018, 12:00 am
Later, in 2016, Chang identified his brother but failed to identify his wife when FINRA requested a review of persons whose accounts traded in AFOP around the time of Corning’s acquisition, and to identify any past or present relationships. [read post]
2 Mar 2018, 2:02 pm
In April 2017 FINRA disclosed that it was “forwarding Examination 20160493163 to their Enforcement Department. [read post]
2 Mar 2018, 1:59 pm
FINRA recently brought a regulatory complaint against Lawrence regarding allegations that he borrowed $39,000 from an elderly customer, in violation of FINRA rules and he has failed to repay the loan. [read post]
2 Mar 2018, 1:54 pm
FINRA also found that Perry sent emails to a customer that mislead and made promissory statements about the investments in the customer’s account. [read post]
2 Mar 2018, 10:30 am
” FINRA Regulatory Notice 09-31. [read post]
2 Mar 2018, 8:24 am
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT 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 broker or financial advisor. [read post]
2 Mar 2018, 5:32 am
For those of us involved with FINRA arbitration, we have the wisdom of Zager & Evans.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2015, Claimant Ledermann, representing himself pro se, asserted breaches o... [read post]
