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12 Feb 2018, 2:15 pm
FINRA and MSRB – OCIE will continue its oversight of FINRA by focusing examinations on FINRA’s operations and regulatory programs and the quality of FINRA’s examinations of broker-dealers and municipal advisors. [read post]
12 Feb 2018, 12:07 pm
FINRA has posted four complaints against Newbridge in November and December 2017, alleging losses totaling over $750,000. [read post]
12 Feb 2018, 9:06 am
The case will proceed to arbitration with the Financial Industry Regulatory Authority (FINRA), possibly as early as next week. [read post]
12 Feb 2018, 9:02 am
The firm exclusively represents investors in FINRA arbitration claims against their brokerage firm or financial professional. [read post]
12 Feb 2018, 8:37 am
To accomplish this, OCIE plans to evaluate FINRA’s day-to-day functioning and the status of FINRA’s evaluations of FINRA member firms. [read post]
12 Feb 2018, 8:23 am
If your broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
12 Feb 2018, 7:53 am
As we highlighted in a previous blog post, investors in FS Energy and Power Fund (“FSEP” or the “Fund”) may be able to recover losses on their investment in arbitration through arbitration before the Financial Industry Regulatory Authority (“FINRA”), if the recommendation to invest in FSEP was unsuitable, or if the broker or financial advisor who recommended the investment made a misleading sales presentation. [read post]
12 Feb 2018, 7:50 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
12 Feb 2018, 7:25 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]
12 Feb 2018, 6:59 am
A broker must do his due diligence on every security he recommends or sell, and, if he does not, his brokerage firm may be held liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA). [read post]
12 Feb 2018, 6:54 am
In addition, OCIE has prioritized its examinations of FINRA and MSRB to ensure that those entities continue to operate effectively as self-regulatory organizations subject to the SEC’s oversight. [read post]
12 Feb 2018, 3:22 am
30 Months Of Violations Under FINRA's Nose (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3827/FINRA-30-Months/ There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
12 Feb 2018, 3:21 am
As a recent FINRA regulatory settlement shows, there are times when self-regulation comes apart at the seams -- e... [read post]
12 Feb 2018, 3:20 am
In a recent FINRA arbitration, a former Oppenheimer & Co. employee is representing himself against his former firm's demands for repayment of compensation. [read post]
9 Feb 2018, 12:53 pm
This is according to his online, FINRA BrokerCheck report. [read post]
9 Feb 2018, 12:51 pm
Investors can use the FINRA arbitration claims process or file a lawsuit separately to recover 401(k) related investment losses with Illinois Tool Works, Inc. [read post]
9 Feb 2018, 8:37 am
According to a FINRA news release titled, “Statistics on Unpaid Customer Awards in FINRA Arbitration”: Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. [read post]
9 Feb 2018, 8:28 am
In November, the Financial Industry Regulatory Authority (“FINRA”) ordered Stephen Todd Walker (“Walker”), a former Morgan Stanley (“MSSB”) Advisor, to pay approximately $2 million to cover remaining promissory note balances and arbitration costs (the “Award”). [read post]
9 Feb 2018, 8:00 am
OCIE will continue to examine the effectiveness and operations of both FINRA and the MSRB, as well as the quality of FINRA’s broker-dealer examinations. [read post]
9 Feb 2018, 7:48 am
FINRA barred Dandridge from the securities industry in November 2017. [read post]
