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13 Oct 2022, 9:43 am
Recovery of Investment Losses through FINRA Arbitration The White Law Group is investigating potential securities claims involving broker dealers who may have improperly recommended bond funds to investors. [read post]
13 Oct 2022, 8:11 am
Recovery of Investment Losses through FINRA Arbitration The White Law Group is investigating potential securities claims involving broker dealers who may have improperly recommended bond funds such as PEDIX to investors. [read post]
13 Oct 2022, 7:19 am
Recovery of Investment Losses through FINRA Arbitration The White Law Group is investigating potential securities claims involving broker dealers who may have improperly recommended bond funds to investors. [read post]
13 Oct 2022, 6:16 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
12 Oct 2022, 12:41 pm
To learn more see If you have suffered investment losses in IShares 25+ Year Treasury STRIPS Bd ETF (GOVZ), 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]
12 Oct 2022, 12:15 pm
To learn more see If you have suffered investment losses in PIMCO 25+ Year Zero Coupon US Trs ETF (ZROZ), 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]
12 Oct 2022, 11:34 am
To learn more see If you have suffered investment losses in PIMCO Long-Term Credit Bond Instl (PTCIX), 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]
11 Oct 2022, 5:03 am
According to FINRA, in a situation where customer account information is stolen, a fraudster may use this information to effect ACATS fraud. [read post]
10 Oct 2022, 1:07 pm
Claims may be brought in securities arbitration before FINRA. [read post]
10 Oct 2022, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. [read post]
10 Oct 2022, 11:28 am
FINRA reportedly barred Stow on Oct. 18, 2019, after he failed to respond to its request for information, effective Jan. 21, 2020, according to FINRA. [read post]
10 Oct 2022, 9:57 am
Silver Law Group represents investors in claims against selling broker-dealers for losses relating to GWG L Bonds and violations of Regulation Best Interest and other FINRA rules and regulations. [read post]
10 Oct 2022, 9:28 am
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
10 Oct 2022, 5:11 am
.; Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rule 25.3, Which Governs the Exchange’s Minor Rule Violation Plan, in Connection with Certain Minor Rule Violations and Applicable Fines.SR-FINRA-2022-017: Financial Industry Regulatory Authority, Inc.; Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for… [read post]
10 Oct 2022, 4:49 am
Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for $24,280,829.20 Related to Apparent Violations of Multiple Sanctions Programs (Treasury Department Release)US DEPARTMENT OF LABOR… [read post]
10 Oct 2022, 4:49 am
All of which set the stage for a 2022 FINRA regulatory settlement whereby the former SVP was fined and suspended. [read post]
10 Oct 2022, 4:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6707/securities-industry-commentator/FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at… [read post]
10 Oct 2022, 4:49 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for $24,280,829.20 Related to Apparent Violations of Multiple Sanctions Programs (Treasury Department Release)US DEPARTMENT OF LABOR ANNOUNCES PROPOSED RULE ON CLASSIFYING EMPLOYEES, INDEPENDENT CONTRACTORS;… [read post]
10 Oct 2022, 4:49 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)DOJ RELEASESSEC RELEASESSEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments (SEC Release)CFTC RELEASESFINRA RELEASES... [read post]
