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9 Feb 2018, 6:37 am
If it does not, it may be liable for losses on a contingency fee basis in the FINRA arbitration forum. [read post]
8 Feb 2018, 4:23 pm
In October of 2017, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo to pay $3.4 million in restitution to investors relating to unsuitable recommendations of volatility-linked ETPs. [read post]
8 Feb 2018, 12:28 pm
If so, The White Law Group may be able to help you with a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
8 Feb 2018, 11:25 am
About a week ago, FINRA released a Special Notice detailing a new portal for stakeholders to signal their willingness to serve on FINRA's board and other important committees. [read post]
8 Feb 2018, 11:03 am
Investors can use the FINRA arbitration claims process or file a lawsuit separately to recover 401(k) related investment losses with Exelon (EXC) headquartered in Chicago, Illinois. [read post]
8 Feb 2018, 8:04 am
For FINRA’s full findings see FINRA case #2017053555601. [read post]
8 Feb 2018, 7:56 am
(FINRA Case #2016050058801) Brad C. [read post]
8 Feb 2018, 7:21 am
FINRA reportedly barred Siegel from the securities industry in October 2016. [read post]
8 Feb 2018, 6:57 am
In a comment letter regarding FINRA Regulatory Notice 17-42, NASAA President Joseph Borg wrote that FINRA has taken a necessary first step toward short-term solutions that would improve the existing expungement process. [read post]
8 Feb 2018, 5:02 am
MSRB was added to the FINRA focus. [read post]
7 Feb 2018, 1:20 pm
FINRA recently issued investor guidance highlighting “Purchasing on Margin, Risks Involved with Trading in a Margin Account. [read post]
7 Feb 2018, 11:17 am
Registered brokers like Jason Zwibel are regulated by federal securities laws and FINRA rules and standards. [read post]
7 Feb 2018, 11:12 am
The Financial Industry Regulatory Authority (“FINRA”) suspended Marino on 10/16/2017 for a 1-year period ending 10/15/2018 after Marino, without admitting or denying the findings, consented to FINRA’s findings that he had recommended unsuitable exchanges of variable annuity products to two customers without having a reasonable basis for recommending the transactions while at Legend Equities Corp. [read post]
7 Feb 2018, 10:23 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]
7 Feb 2018, 8:30 am
Broker-dealers that have not done their fiduciary duty or adequately disclose the risks when selling investments may be held liable for damages lost through FINRA arbitration claims. [read post]
7 Feb 2018, 7:33 am
Investors can use the FINRA arbitration claims process or file a lawsuit separately to recover 401(k) related investment losses with Mondelez International (MDLZ) headquartered in Deerfield, Illinois. [read post]
7 Feb 2018, 6:27 am
For FINRA’s full findings see FINRA case #2016048870601. [read post]
6 Feb 2018, 3:43 pm
If so, you may be able to recover your losses with this security on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
6 Feb 2018, 3:21 pm
The firm exclusively represents investors in FINRA arbitration claims against their brokerage firm or financial professional. [read post]
6 Feb 2018, 3:19 pm
If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
