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1 Mar 2018, 4:37 pm
InvenTrust investors may have arbitration claims to be pursued before FINRA, in the event that their 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. [read post]
1 Mar 2018, 1:10 pm
Morgan Broker Barred by FINRA appeared first on . [read post]
1 Mar 2018, 1:09 pm
FINRA’s AWC claimed that Mr. [read post]
1 Mar 2018, 5:30 am
When a former Citigroup Global Markets employee hits the firm with a FINRA Arbitration demand for over $16.5 million in damages, we know that there was likely a lot of bad blood engendered by what was alleged to be a wrongful termination. [read post]
28 Feb 2018, 10:00 am
Both SEC and FINRA Enforcement have brought actions related to the sales practices of inverse and leveraged ETFs, as well as the purchase and sale of complex products. [read post]
28 Feb 2018, 9:55 am
Hartman’s BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Barry Hartman was previously registered with The Prudential Insurance Company of America in Newark, New Jersey from June 1985 until December 1993, Pruco Securities Corp in Newark from June 1985 until November 2000, Raymond James in St. [read post]
28 Feb 2018, 9:29 am
Investors in Griffin-American Healthcare REIT III (“GAH REIT III”), may have FINRA arbitration claims, if their 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]
28 Feb 2018, 6:57 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]
27 Feb 2018, 1:37 pm
Investment broker Angel Edgardo Aquino-Velez (CRD#: 2687333) is no longer working as a broker, according to FINRA. [read post]
27 Feb 2018, 1:30 pm
FINRA suspended Christopher Robert Hickman in June of 2017 for six months. [read post]
27 Feb 2018, 9:07 am
ETPs have previously come under scrutiny by FINRA. [read post]
27 Feb 2018, 8:10 am
(FINRA Case #2014043043601) Marlon O. [read post]
26 Feb 2018, 12:53 pm
The post What is FINRA? [read post]
26 Feb 2018, 11:27 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]
26 Feb 2018, 8:31 am
On Tuesday, March 27, in Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz will focus on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
26 Feb 2018, 3:33 am
Bubitotious Infectosis, FINRA Exams, and Loaded Dice (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3849/finra-test-/It's a story as old as elementary school. [read post]
26 Feb 2018, 3:31 am
Sayers, pleaded guilty in the United States District Court for the Eastern District of Texas to wire fraud and bank fraud and was sentenced to 132 months in federal prison and ordered to pay $2,102,617.27 in restitution.Non-Attorney Representatives Involved In FINRA Arbitration Blight (BrokeAndBroker.com Blog, March 1, 2018)... [read post]
26 Feb 2018, 3:31 am
It's a story as old as elementary school. [read post]
26 Feb 2018, 3:30 am
In today's BrokeAndBroker.com Blog, we present a recent FINRA arbitration in which member FINRA firm Kovack Securities comes after a former employee for indemnification arising out of a settled customer arbitration. [read post]
26 Feb 2018, 3:30 am
As such, readers might expect to find these words in a article penned by Bill:This Arbitration Award is a blight on FINRA Arbitration proceedings. [read post]
