Search for: "Finra"
Results 101 - 120
of 18,333
Sort by Relevance
|
Sort by Date
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]
10 Mar 2024, 7:21 pm
The New York financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) in January 2024 following allegations that he willfully violated Regulation Best Interest obligations after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors. [read post]
10 Mar 2024, 7:19 pm
Continue Reading › The post FINRA arbitration Law Firm appeared first on Investor Lawyers Blog. [read post]
7 Mar 2024, 1:09 pm
Background: LPL Financial LLC LPL Financial LLC, a long-standing member of FINRA since 1973, operates as a significant player in the securities industry and is one of the larger “independent” FINRA firms. [read post]
5 Mar 2024, 9:05 pm
., Jan. 18, 2023 (accusing the SEC and FINRA of being “more interested in protecting their turf than protecting investors”); David Gura, Wringing its hands over FTX’s collapse, Washington hopes to prevent more crypto pain, NPR, November 22, 2022. [read post]
5 Mar 2024, 5:40 am
As the study points out, broker-dealers, exchanges and FINRA all maintain detailed, timestamped transactional records that show when securities in one account are transferred to another account. [read post]
