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29 Mar 2024, 11:47 am
FINRA states “Pursuant to FINRA Rule 9552(h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated June 2, 2023, and June 26, 2023, respectively, on September 5, 2023, Wilhelm is barred from association with any FINRA member firm in all capacities. [read post]
29 Mar 2024, 11:32 am
FINRA, a regulator of the securities industry, recently barred North Carolina broker Christina Peterman after she failed to respond to a FINRA request for information and documents. [read post]
28 Mar 2024, 10:36 am
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
26 Mar 2024, 2:48 pm
By late March 2023, the Financial Industry Regulatory Authority (FINRA) requested BP provide a deal chronology, including the names of those who were “in the know” before the acquisition. [read post]
26 Mar 2024, 12:13 pm
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
25 Mar 2024, 8:44 pm
What Should You Expect When Filing A FINRA Lawsuit? [read post]
25 Mar 2024, 8:32 pm
This includes, most recently, a $34,000,000 FINRA lawsuit that InvestmentNews reports likely was filed against Triad, which was Walesa’s broker-dealer of record at the time that he worked with the claimant. [read post]
25 Mar 2024, 8:18 pm
If you are one of these investors and would like our help determining whether you have grounds for a FINRA lawsuit seeking damages, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. [read post]
25 Mar 2024, 9:25 am
27 FINRA Lawsuits Allege Unsuitable Recommendations Shepherd Smith Edwards and Kantas (investorlawyers.com) are investigating portfolio loss claims by former customers of ex-Arizona stockbroker Luke Michael Johnson. [read post]
25 Mar 2024, 5:00 am
… FINRA found that M1 violated FINRA Rule Rule 2210 (Communications with the Public) and Rule 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
22 Mar 2024, 9:07 am
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
22 Mar 2024, 2:20 am
” Coming on the heels of the SEC proposing new rules in 2023 for investment advisers and broker-dealers using “predictive data analytics,” and the SEC’s joint alert with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) flagging concerns about increasing investment frauds involving the use of artificial intelligence, it is clear that the SEC will be focused on artificial intelligence in the months… [read post]
21 Mar 2024, 9:04 am
” Chimento reportedly refused to provide information in its investigation, leading to the bar, according to FINRA, FINRA Rules for Brokers According to FINRA Rule 8210(a)(1), individuals and entities registered with FINRA must provide information concerning any matter relevant to a FINRA investigation or examination. [read post]
21 Mar 2024, 8:17 am
FINRA Rules for Brokers According to FINRA Rule 8210(a)(1), individuals and entities under FINRA’s jurisdiction must provide information concerning any matter relevant to a FINRA investigation or examination. [read post]
18 Mar 2024, 3:00 am
In addition, the SEC oversees the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB). [read post]
17 Mar 2024, 7:14 pm
The FINRA claim was seeking damages between $100,000.01 and $500,000. [read post]
14 Mar 2024, 6:19 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
14 Mar 2024, 4:25 pm
After considering the issue, FINRA moved to largely ban non-attorneys from representing... [read post]
12 Mar 2024, 3:36 am
., there is no business or management of an issuing entity to describe for asset-backed securities), and (2) that certain conditions in SEC rules are “not relevant or practical” for asset-backed securities.[7] The SEC’s recognition of the need to treat products differently extends beyond securities registration and disclosure and into its regulation of market participants.[8] For instance, the SEC has established customized requirements for the marketing and sale of… [read post]
11 Mar 2024, 7:14 am
FINRA Rules for Brokers According to FINRA Rule 8210(a)(1), individuals and entities under FINRA’s jurisdiction must provide information concerning any matter relevant to a FINRA investigation or examination. [read post]
