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FINRA Bars Dusty Sternadel After Refusing To Testify In Investigation
3 Jan 2023, 2:17 pm by Silver Law Group
Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2022
30 Dec 2022, 7:37 am by Silver Law Group
Morgan Securities LLC   Ameriprise Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2022
30 Dec 2022, 7:14 am by Silver Law Group
Morgan Securities LLC   Austin Lazarus   Merrill Lynch, Pierce, Fenner & Smith Incorporated   J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2022
1 Dec 2022, 7:52 am by Silver Law Group
Morgan Securities LLC   Yasmine Mercado   Cory Tinsley   Farmers Financial Solutions, LLC   AXA Advisors, LLC   Khalil Watts   J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2022
1 Dec 2022, 7:23 am by Silver Law Group
Morgan Securities LLC   Morgan Stanley   Bruce Smith   The Sports Advisory Group, LLC   UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Campaign Legal Center v. DOJ — FOIA Postscript to Department of Commerce v. New York (Part II)
29 Nov 2022, 4:13 am by Bernard Bell
Bank Securities Litigation, 478 F. [read post]
Notice & Comment - https://www.yalejreg.com/nc/
FINRA Hits Morgan Stanley for High-Risk Investments
28 Nov 2022, 10:25 am by The White Law Group
    The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
28 Nov 2022, 9:02 am by Jack Valladares
LLC  Morgan Stanley Smith Barney LLC Nomura Securities International, Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
21 Nov 2022, 9:02 am by Jack Valladares
LLC  Morgan Stanley Smith Barney LLC Nomura Securities International, Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
J.P. Morgan Broker Edward Turley Barred from Industry by FINRA
21 Nov 2022, 5:31 am by Greco & Greco, P.C.
Morgan Securities LLC since 2009, and that he was terminated by J.P. [read post]
Virginia Securities Fraud Blog - https://www.grecogrecolaw.com/blog/
Ex-JP Morgan Broker Edward Turley Barred from Securities Industry
18 Nov 2022, 9:37 am by The White Law Group
MORGAN SECURITIES LLC (CRD#:79), SAN FRANCISCO, CA,    B, 04/03/1995 – 12/06/2005, LEHMAN BROTHERS INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
You Aren’t Just Imaging Things: The Current SEC Really is More Active
17 Nov 2022, 1:14 pm by Kevin LaCroix
Thus, for example, a significant portion of the total amount relates to the SEC’s actions against JP Morgan, 15 other broker dealers, and on investment adviser for failure to maintain and preserve word-related text messages. [read post]
The D & O Diary - http://www.dandodiary.com/
A Problem With The Escrow Account
16 Nov 2022, 4:47 am by Andrew Lavoott Bluestone
Morgan Sec. [read post]
New York Attorney Malpractice Blog - http://blog.bluestonelawfirm.com/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2022
11 Nov 2022, 9:39 am by Silver Law Group
Morgan Securities LLC   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Eddy Chou   Inspire Advisors, LLC   Ameriprise Financial Services, LLC   Kara Gagnon   Global Atlantic Distributors, LLC   MetLife Investors Distribution Company   Johana Jimenez   Derick Stickland   Allstate Financial Services, LLC FINRA makes this information available, in part, to inform investors about… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022
11 Nov 2022, 9:28 am by Silver Law Group
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Todd Kalish   Park Edge Advisors, LLC   McDonald Partners LLC   Nicolas Lumermann   Morgan Stanley   Credit Suisse Securities (USA) LLC   Jeff McElroy   BOK Financial… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2022
11 Nov 2022, 9:07 am by Silver Law Group
Morgan Securities LLC   Jay Dougall   Principal Securities, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
 Harvest Collateral Yield Enhancement Strategy (CYES) Securities Investigation  
7 Oct 2022, 12:37 pm by The White Law Group
   The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Shawn Good Barred Over Alleged Ponzi Scheme – Investor Recovery Options
1 Oct 2022, 8:14 am by Staff Attorney
  According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
SEC Cracks down on 16 Wall Street Firms for Electronic Communications Failures 
28 Sep 2022, 12:37 pm by The White Law Group
LLC and Morgan Stanley Smith Barney LLC;   UBS Securities LLC and UBS Financial Services Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. Total penalties exceed $1.1 Billion
28 Sep 2022, 8:06 am by jeffreynewmanadmin
LLC;Morgan Stanley & Co. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/