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19 Sep 2022, 7:44 am
Claims may be brought in securities arbitration before FINRA. [read post]
17 Sep 2022, 9:15 am
Promoter of Foreign Cryptocurrency Company Sentenced to Prison for Role in Fraud Scheme (DOJ Release)Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants (CFTC Release)FINRA Fines and Suspends Former Wells Fargo Clearing Services Rep for Suitability involving New Issue Preferred Securities and Cell Phone CommunicationsIn the Matter of Solomon Wei-En Hua, Respondent (FINRA AWC)= = =September 19, 2022SEC Buries the Lede About… [read post]
17 Sep 2022, 9:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6671/securities-industry-commentator/Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)Making lemonade of legal lemons, new wave of ERISA class actions accuse fiduciaries of 'imprudently' using low-fee, high-rated funds, like BlackRock TDFs / The lawsuits against 401(k) plan sponsors also… [read post]
17 Sep 2022, 9:15 am
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Former U.S. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without… [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial… [read post]
17 Sep 2022, 9:15 am
On top of everything, Wells Fargo sued Johnson for her alleged failure to repay two Promissory Notes.Case in PointIn a FINRA Arbitration Statement of Claim filed in July 2019, FINRA Member Firm Claimant Wells Fargo asserted breach of contract, promissory estoppel, unjust enrichment, tortious interference with contractua... [read post]
17 Sep 2022, 9:15 am
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6662/cedar-brooks-schlang-finra/The parties entered into a 2016 Redemption Agreement whereby Bradley Schlang was bought out of the company pursuant to 10 years of quarterly payments. [read post]
17 Sep 2022, 8:22 am
In FINRA actions as early as 2013, FINRA stated that GWG has a limited operating history and has not yet obtained profits through its strategy. [read post]
17 Sep 2022, 7:53 am
Claims may be brought in securities arbitration before FINRA. [read post]
16 Sep 2022, 11:24 am
Continue reading › The post SEC CHARGES INVESTMENT ADVISER FOR FAILING TO DISCLOSE SPAC-RELATED CONFLICTS appeared first on FINRA Lawyer Blog. [read post]
16 Sep 2022, 11:19 am
Gregg Breitbart, KDV Fort Lauderdale co-managing partner and co-chair of Financial Services & Institutions Practice was quoted extensively in a September 15, 2022 article in AdvisorHub, titled “Finra’s One-Time Offer: Discharge Bad Brokers And Avoid “Restricted” Designation” Read full article The post Finra’s One-Time Offer: Discharge Bad Brokers And Avoid “Restricted” Designation, quote from Gregg Breitbart, Esq., in… [read post]
16 Sep 2022, 10:39 am
According to his FINRA Broker report, Basford was reportedly affiliated with DAVID LERNER ASSOCIATES, INC. [read post]
16 Sep 2022, 10:18 am
She reportedly has six customer complaints on her broker record, according to FINRA. [read post]
16 Sep 2022, 8:18 am
Customers Were Sold Private Equity Shares By Ex-Georgia Broker and Southport Capital Investment Adviser John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel in Atlanta has ordered Oppenheimer & Co. to pay several investors $36.7M in the wake of losses sustained in the alleged $110M Horizon Private Equity III Ponzi Scheme. [read post]
16 Sep 2022, 8:04 am
Claims may be brought in securities arbitration before FINRA. [read post]
16 Sep 2022, 8:03 am
Claims may be brought in securities arbitration before FINRA. [read post]
16 Sep 2022, 6:30 am
The staff followed up with a December 2021 no-action letter to FINRA that laid out its planned phased approach to the application of Rule 15c2-11 to the fixed income markets.Associations’ objections. [read post]
16 Sep 2022, 4:30 am
FINRA also conducted its own investigation into the JDN Capital dealings. [read post]
15 Sep 2022, 8:35 am
When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away. [read post]
