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5 Feb 2018, 2:58 am
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities (SEC Press Release 2018-12) https://www.sec.gov/news/press-release/2018-12OCIE published its 2018 examination priorities, which consist of (1) compliance and risks in critical market infrastructure; (2) matters of importance to retail investors, including seniors and those saving for retirement; (3) FINRA and MSRB; (4) cybersecurity; and (5) anti-money laundering programs. [read post]
5 Feb 2018, 2:57 am
This is an update of "FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal" (BrokeAndBroker.com Blog, January 16, 2018). [read post]
2 Feb 2018, 11:19 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]
2 Feb 2018, 11:16 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]
2 Feb 2018, 8:20 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]
1 Feb 2018, 10:01 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
1 Feb 2018, 8:30 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
1 Feb 2018, 5:45 am
According to his FINRA BrokerCheck records, FINRA barred Unger in 2014. [read post]
31 Jan 2018, 9:35 am
If a brokerage firm makes unsuitable investment recommendations or fails to disclose the risks associated with an investment they may be liable for investment losses through FINRA arbitration. [read post]
31 Jan 2018, 4:00 am
FINRA regulators inquired into the activity, but the man did not respond to the agency’s questions. [read post]
30 Jan 2018, 1:47 pm
After resolution of the court proceeding, the dispute may continue in FINRA arbitration. [read post]
30 Jan 2018, 12:55 pm
For FINRA’s full findings see FINRA Case # 2017054026701. [read post]
30 Jan 2018, 12:39 pm
In 2017, around this time of year, securities industry regulatory body, FINRA (the Financial Industry Regulatory Authority) introduced new rules and regulations aimed at mitigating the financial exploitation of elderly Americans. [read post]
30 Jan 2018, 12:17 pm
The post FINRA’s New Elder Fraud Rule – Takes Effect February 5 appeared first on White Securities Law. [read post]
30 Jan 2018, 12:06 pm
Anderson was “indefinitely” suspended by FINRA for failing to comply with an arbitration award, pay a settlement, and/or failing to tell FINRA about the status of that award. [read post]
30 Jan 2018, 12:06 pm
Anderson was “indefinitely” suspended by FINRA for failing to comply with an arbitration award, pay a settlement, and/or failing to tell FINRA about the status of that award. [read post]
30 Jan 2018, 12:02 pm
If you were a client of Charles Banks and suffered losses, 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]
30 Jan 2018, 8:52 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Huntleigh Securities Corporation violated securities laws. [read post]
30 Jan 2018, 8:07 am
If a brokerage firm fails to adequately disclose risks or make unsuitable investment recommendations, they can be held liable for investment losses through FINRA Arbitration. [read post]
30 Jan 2018, 7:53 am
(FINRA Case #2015046537501) Walter Joseph Marino (CRD #2121623, Dix Hills, New York) – An Offer of Settlement was issued in which Marino was suspended from association with any FINRA member in all capacities for one year. [read post]
