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25 Oct 2022, 10:18 am
”The Importance of Diversifying an Investment PortfolioBoth FINRA and the Securities Exchange Commission see allocation and diversification as vital elements in a sound portfolio, according to Patrick Barrett, of Levin Papantonio Rafferty’s Securities and Business Litigation. [read post]
24 Oct 2022, 10:32 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
24 Oct 2022, 9:04 am
He is not currently registered as a broker, according to FINRA. [read post]
24 Oct 2022, 8:00 am
In the United States, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) each offer investor resources for reducing the risk of investment fraud. [read post]
24 Oct 2022, 6:20 am
Seyfarth partners Jeremy Cohen and Kevin Mahoney will address the following topics: Practical steps financial institutions can implement to protect trade secrets and client relationshipsWhat to do if your trade secrets are improperly removed or disclosed or if a former employee is violating restrictive covenant agreementsHow to prosecute a case against a former employee who is a FINRA memberThe impact of the Protocol for Broker Recruiting on trade secrets and client… [read post]
24 Oct 2022, 3:44 am
Please, you take it from here.Case In PointIn a FINRA Arbitration Statement of Claim filed in November 2021, public customer Cla... [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000… [read post]
24 Oct 2022, 3:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6731/securities-industry-commentator/FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD… [read post]
24 Oct 2022, 3:44 am
FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6734/finra-taxonomy-initiative/FINRA seems to think that Wall Street was awaiting with great anticipation the fabulous news that FINRA had launched a machine-readable rulebook initiative. [read post]
24 Oct 2022, 3:44 am
FINRA's regulatory settlement with the NRF is now posted on FINRA's public database for all to see. [read post]
24 Oct 2022, 3:44 am
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESThree Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For… [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000… [read post]
24 Oct 2022, 3:44 am
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For Running $80 Million "Oasis" FOREX Ponzi Scheme (DOJ Release)Chesterfield Man Convicted in Scheme to Embezzle Funds in Law Firm Trust Account (DOJ Release)... [read post]
24 Oct 2022, 12:15 am
AThe Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation. [read post]
21 Oct 2022, 7:15 am
Raymond James Reps Allegedly Schemed to Overcharged Customers According to public records, the Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (RJFS) for supervisory failures and other rules violations. [read post]
21 Oct 2022, 3:30 am
In today’s ecosystem, companies are more likely than ever to be faced with the potential for investigation or other enforcement action by any number of regulatory bodies — whether it be the SEC, FINRA, NASDAQ, DOJ, FTC, OSHA, and so on. [read post]
20 Oct 2022, 11:38 am
The firms argue that FINRA is unconstitutional under the Appointments Clause,... [read post]
20 Oct 2022, 7:25 am
If you have suffered investment losses in Fidelity Series 5+ Year Inflation-Protected Bond Index (FSTDX), the securities attorneys at the White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
20 Oct 2022, 5:43 am
They must ensure they are complying with FINRA rules. [read post]
20 Oct 2022, 5:18 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses in a FINRA arbitration claim. [read post]
