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6 Feb 2018, 7:36 am
According to FINRA Disciplinary actions for January 2018, 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: NAME FORMER EMPLOYERS Jesse Baker Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
12 Jan 2018, 8:48 am
According to FINRA Disciplinary actions for December 2017, 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 Helle Romer Bannister HighTower Advisors, LLC J.P. [read post]
18 Dec 2018, 11:03 am
The post FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Jun 2018, 6:26 am
According to FINRA Disciplinary actions for May 2018, 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: NAME FORMER EMPLOYERS Fernando Enrique Acosta Paul Anthony Bustamante Empire Asset Management Company Bishop, Rosen & Co,… [read post]
1 Jul 2019, 12:46 pm
According to FINRA Disciplinary actions for June 2019, 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: NAME FORMER EMPLOYERS Andrews, Carolyn UBS Financial Services Inc. [read post]
6 Mar 2018, 8:13 am
According to FINRA Disciplinary actions for February 2018, 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 Florjan Beqo J.P. [read post]
4 Apr 2018, 7:38 am
According to FINRA Disciplinary actions for March 2018, 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: NAME FORMER EMPLOYERS Benjamin Glasser Aibel Wunderlich Securities, Inc. [read post]
6 Aug 2019, 8:52 am
The post Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Apr 2019, 11:59 am
The post In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
6 Mar 2018, 8:02 am
According to FINRA Disciplinary actions for February 2018, 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: NAME FORMER EMPLOYERS Stephen Robert Adams BBVA Securities Inc. [read post]
21 Oct 2019, 7:09 am
However, does the jurisdiction of FINRA arbitrator extend to companies or persons that are not FINRA members or employees of FINRA members? [read post]
8 May 2018, 8:55 am
The post Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Jul 2017, 8:41 am
FINRA Rule 9552. [read post]
14 May 2017, 5:49 am
FINRA Rule 9552. [read post]
14 May 2017, 8:36 am
FINRA Rule 9552. [read post]
3 Jan 2019, 5:48 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
19 Apr 2019, 5:39 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
21 Oct 2019, 5:58 am
After receiving notice from FINRA of the investigation Jessee, though her counsel, notified FINRA that she would not appear for an interview conducted by FINRA as part of their investigation. [read post]
24 Jan 2023, 10:16 pm
What To Know When Filing a FINRA Complaint Against Your Broker The Difference Between A FINRA Lawsuit and a FINRA Complaint If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). [read post]
27 May 2015, 1:12 pm
Last month, FINRA launched a toll-free FINRA Securities Helpline for Seniors at 844-57-HELPS (844-574-3577) to provide older investors with assistance from FINRA staff related to concerns they have with their brokerage accounts and investments, such as: understanding how to review your investment portfolio or account statements; concerns about the handling of a brokerage account; and investor tools and resources from FINRA, including BrokerCheck® Since… [read post]
