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21 Feb 2018, 6:40 am
The post Marcus Parker Barred From Industry by FINRA appeared first on . [read post]
21 Feb 2018, 5:24 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
21 Feb 2018, 3:45 am
Investors who bought into Credit Suisse’s Velocity Shares Daily Inverse VIX Short Term Exchange-Traded Note (“XIV”) on the recommendation of their broker or financial advisor may be able to recover their losses in FINRA arbitration. [read post]
20 Feb 2018, 3:39 pm
Investors who have lost money on the recommendation of their broker or financial advisor to invest in volatility related financial products may be able to recover their losses in FINRA arbitration. [read post]
20 Feb 2018, 11:58 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
20 Feb 2018, 7:29 am
His broker report further states that FINRA suspended Mininger from the securities industry in August 2015 for “Failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. [read post]
20 Feb 2018, 3:21 am
Scottrade Customer Margin Case Tossed During Discovery (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3837/finra-scottrade-discovery/In today's BrokeAndBroker.com Blog, we come upon yet another FINRA arbitration involving a public customer who represented himself. [read post]
20 Feb 2018, 3:19 am
In today's BrokeAndBroker.com Blog, we come upon yet another FINRA arbitration involving a public customer who represented himself. [read post]
19 Feb 2018, 5:27 pm
Experienced FINRA Attorneys for Senior and Vulnerable Investors Our FINRA attorneys are committed to fighting for senior citizens and other vulnerable investors who have lost money due to investment fraud and financial exploitation. [read post]
19 Feb 2018, 11:05 am
The Iowa Insurance Division has proposed the following amendments and additions to its securities rules: Adds a merger acquisition exemption from licensing for qualified broker-dealers; Iowa adopts the NASAA model rule’s merger acquisition broker exemption; Changes its business continuity and succession plan rule for investment advisers from a licensing to an examination requirement; Mandates the use of NASAA’s Electronic Filing Depository (EFD) for unit investment trust notice… [read post]
18 Feb 2018, 6:38 am
For some reason, FINRA likes to play hide and seek. [read post]
18 Feb 2018, 6:37 am
" Further, OIA admonishes that "FINRA should consider ways that ... [read post]
16 Feb 2018, 1:08 pm
FINRA Bars Brian M. [read post]
16 Feb 2018, 12:24 pm
Free Consultation with a Securities Attorney It may be possible to recover investment losses incurred as a result of your purchase of Bakken Drilling Fund IV LP through FINRA arbitration. [read post]
16 Feb 2018, 11:01 am
You may be able to bring a claim against PFS Investments in the FINRA arbitration forum on a contingency fee basis if you lost money because of Daniel Hartley. [read post]
16 Feb 2018, 10:53 am
Schroeder also appears to accept, on behalf of FINRA, responsibility for ensuring that firms understand exactly what FINRA expects and why FINRA believes certain enforcement actions and sanctions are deserved. [read post]
16 Feb 2018, 6:52 am
Meanwhile, FINRA is still getting complaints about Diaz. [read post]
16 Feb 2018, 12:00 am
These unsuitable VIX ETF’s and investments include: VelocityShares Daily 2X VIX Short-Term ETN (TVIX) ProShares Short VIX Short-Term Futures (SVXY) iPath S&P 500 VIX Short-Term Futures ETN (VXX) VelocityShares Daily Inverse VIX Short-Term ETN (XIV) ProShares Ultra VIX Short-Term Futures (UVXY) ProShares VIX Short-Term Futures (VIXY) Nomura Next Notes S&P 500 VIX Short-Term Futures Inverse Daily Excess Return Index ETN Curiously, last year, FINRA reminded member… [read post]
15 Feb 2018, 2:31 pm
For FINRA’s full findings see FINRA case #2018057246701. [read post]
15 Feb 2018, 10:50 am
(FINRA Case #2016052559401) Michael Lawrence Oromaner (CRD #2857559, Huntington, New York) – An AWC (Accept, Waiver & Consent) was issued in which Oromaner was assessed a deferred fine of $25,000, suspended from association with any FINRA member firm in all capacities for two years and required to pay $60,158, plus interest, in restitution to customers. [read post]
