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6 Dec 2022, 10:16 pm
(sometimes referred to below as the “Lightstone REITs”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
6 Dec 2022, 8:52 am
Investors in VII Peaks Co-Optivist Income BDC II (“VII Peaks BDC”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
6 Dec 2022, 7:50 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
5 Dec 2022, 8:26 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
2 Dec 2022, 1:17 pm
., a publicly registered, non-traded real estate investment trust, may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
2 Dec 2022, 10:12 am
According to FINRA, each firm violated FINRA Rule 2010. [read post]
2 Dec 2022, 8:24 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
2 Dec 2022, 2:59 am
FINRA announces increase in proficiency examination fees for 2023 Read More [read post]
1 Dec 2022, 9:17 am
Continue Reading › The post Parking REIT Investors May Be Able to File FINRA Lawsuits appeared first on Investor Lawyers Blog. [read post]
1 Dec 2022, 7:52 am
According to FINRA Disciplinary actions for November 2022, 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]
1 Dec 2022, 7:23 am
What Is FINRA Rule 9554? [read post]
30 Nov 2022, 1:49 pm
According to FINRA Disciplinary actions for November 2022, 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 Chad Barancyk Great Point Capital LLC First Allied Securities, Inc. [read post]
29 Nov 2022, 7:59 am
FINRA Sanctions FFEC Wealth Partners for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined FFEC Wealth Partners LLC (formerly, First Financial Equity Corporation) (CRD No. 16507) for supervisory failures. [read post]
29 Nov 2022, 6:51 am
Then in a September 2021 no-action letter to FINRA, the staff expressed the view that Rule 15c2-11, including the 2020 amendments, applies to other types of OTC securities, including fixed-income securities. [read post]
28 Nov 2022, 10:25 am
According to FINRA, eight investors lost a total of $1.6 Million in a Chinese telecom business. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETS Virtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland)DOJ RELEASESHome Health Aide Sentenced to 57 Months in Prison for Stealing U.S. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog) Virtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)DOJ RELEASESSEC RELEASESCFTC RELEASESFINRA RELEASES= = =11/28/2022Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors(BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6770/finra-goldman-sexism/By way of preamble, this blog is is about Goldman, Sachs & Co. and the Financial Industry Regulatory Auth... [read post]
28 Nov 2022, 3:50 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6780/securities-industry-commentator/Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETSVirtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v.… [read post]
