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8 May 2023, 4:47 am
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement (BrokeAndBroker.com Blog) SEC Says No Second Bite of FINRA Expungement Apple (BrokeAndBroker.com Blog) The Fair But Unsatisfactory FINRA Arbitration Hearing (BrokeAndBroker.com Blog) Congressman George Santos Charged with Fraud, Money Laundering, Theft of Public Funds, and False Statements / Santos Allegedly Embezzled Contributions from Supporters, Fraudulently… [read post]
5 May 2023, 12:33 pm
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
5 May 2023, 9:15 am
According to FINRA Disciplinary actions for April 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS William Casper J.P. [read post]
5 May 2023, 7:48 am
What Is FINRA Rule 9554? [read post]
4 May 2023, 1:58 pm
According to FINRA Disciplinary actions for April 2023, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
4 May 2023, 7:46 am
Hiring a FINRA Attorney If your broker has defrauded you, you may be able to file a claim with FINRA to seek resolution through arbitration. [read post]
2 May 2023, 9:01 am
Investors Sue David Lerner Associates Over Spirit of America Energy Fund Losses Our Skilled Oil and Gas Investment Fraud Lawyers Filed Claimants’ Six-Figure FINRA Lawsuit Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to investigate claims of losses involving David Lerner Associates’ Spirit of America Energy Fund (SOAEX). [read post]
1 May 2023, 8:10 pm
Continue Reading › The post Illinois FINRA Attorneys appeared first on Investor Lawyers Blog. [read post]
1 May 2023, 9:51 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
1 May 2023, 8:42 am
Damian Baird – FINRA BrokerCheck Profile The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
1 May 2023, 3:49 am
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
1 May 2023, 3:49 am
Further, until such time as FINRA demonstrates a sincere commitment to reform, all FINRA member firms should instruct their Executive Representative to not cast a vote for any candidate in any FINRA election by way of a boycott. [read post]
1 May 2023, 3:49 am
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
1 May 2023, 3:49 am
JOIN TODAY -- FREE MEMBERSHIP 2023 FINRA Industry Snapshot Industry Recruiter Sues Morgan Stanley Citing Racial DiscriminationANTHONY FLETCHER, Plaintiff, v. [read post]
1 May 2023, 3:49 am
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
1 May 2023, 3:49 am
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
27 Apr 2023, 12:35 pm
FINRA Letter of Acceptance, Waiver, and Consent No. 2021071850601, 2 (2021). [read post]
26 Apr 2023, 7:45 pm
Our Brokerage Firm Negligence Law Firm is Investigating Barred LPL Broker John Matson Elderly Investor Called FINRA Helpline for Seniors to Complain If you suffered significant portfolio losses while working with former LPL Financial stockbroker John Nicholas Matson, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you determine whether you have grounds for a legal claim. [read post]
26 Apr 2023, 7:54 am
Crenshaw also urged the SEC and FINRA to adopt comprehensive rules for options and other complex products.Congress has proposed legislation on numerous topics related to this year’s bank failures, including on clawbacks of bank executives’ pay and regarding rollbacks of some provisions enacted several years ago that eased Dodd-Frank Act requirements for community banks.A Legal Sidebar issued by the Congressional Research Service recommended that federal banking regulators… [read post]
24 Apr 2023, 5:58 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-02093. [read post]
