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28 May 2021, 1:40 pm
Brokerage firms and stockbroker primarily have four defenses to avoid expedited suspension under FINRA Rule 9554: They can prove that the arbitration award has actually already been paid in full; They can prove that they have reached a voluntary settlement on payment terms with the complaining customer; They can prove that they have taken further legal action, filing a claim to vacate or modify the award and that their motion to do so is still pending in the court; or They… [read post]
28 May 2021, 1:36 pm
From today's decision by Judge John L. [read post]
28 May 2021, 1:27 pm
Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
28 May 2021, 1:24 pm
John Crouch, 68, was killed in a Huntington Beach bicycle accident, which officials said involved a suspected drunk driver. [read post]
28 May 2021, 12:30 pm
The Sixth Circuit gently reminds the bar that waiver and forfeiture are not the same, and the little difference can mean years of prison time. [read post]
28 May 2021, 11:11 am
I can see through your masks. [read post]
28 May 2021, 10:52 am
According to FINRA Disciplinary actions for April 2021, 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 John Arnold Voya Financial Advisors, Inc. [read post]
28 May 2021, 7:08 am
Eventually, the role of Attorney General went to John Breckinridge from Kentucky. [read post]
28 May 2021, 6:39 am
In its petition, Unicolors argues that a copyright can be invalidated not on a showing of mere knowing falsity, but only upon a higher showing that the registrant acted in bad faith or intended to defraud the copyright office. [read post]
28 May 2021, 6:03 am
Robinson, Dean Crow, James Fowler, John Dobrott and Park Eddy (the Board) … for intentional infliction of emotional distress. [read post]
28 May 2021, 6:00 am
For those of you who missed our recent webinar, "Living on the Edge: Managing Sea Level Rise in California", you can find a recording of the event posted at this link to our website. [read post]
28 May 2021, 4:00 am
The ad explicitly asks for money for the Stop Socialism Now PAC, an entity that can accept unlimited donations. [read post]
28 May 2021, 3:58 am
I can’t recommend this book enough. [read post]
28 May 2021, 3:56 am
We are asking them to be a combination of Henry Kissinger, the Dalai Lama and John Wayne. [read post]
28 May 2021, 3:39 am
Text Copyright John L. [read post]
27 May 2021, 4:18 pm
Manoog III can help you assert a claim against the restaurant that prepared and served the food. [read post]
27 May 2021, 10:49 am
The United States has also seen its share of degree revocations, including former Senator John Walsh. [read post]
27 May 2021, 9:55 am
Kaplan, and John F. [read post]
27 May 2021, 9:27 am
Charles Johns on April 30. [read post]
27 May 2021, 9:10 am
You can't draw that line, and you shouldn't want to. [read post]
