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27 Jul 2022, 10:52 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
27 Jul 2022, 7:04 am
Markin allegedly lied to FBI agents, as well as to his girlfriend when she questioned why her name came up in a FINRA inquiry.The SEC seeks permanent injunctive relief, civil penalties, and disgorgement with prejudgment interest against Markin and his friend. [read post]
27 Jul 2022, 5:07 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
26 Jul 2022, 2:01 pm
Firm Accused of Inadequate Training And Poor Supervision of Brokers That Sold YES UBS Financial Services has consented to pay about $25M to settle US Securities and Exchange Commission (SEC) charges related to the firm’s Yield Enhancement Strategy (YES). [read post]
26 Jul 2022, 12:10 pm
We demonstrate that this volume is due to the interaction of a well-intentioned but misguided FINRA reporting rule, Robinhood trading, and fractional shares. [read post]
26 Jul 2022, 12:09 pm
For more information on the firm and its representation of investors through FINRA arbitration, please visit our website, www.whitesecuritieslaw.com. [read post]
26 Jul 2022, 7:46 am
Law firms also hold information protected by statute and regulation, including data breach notification laws in 48 states, HIPAA, FINRA, PCI and others. [read post]
25 Jul 2022, 1:00 pm
Continue reading › The post FINRA ENDS MANDATORY ARBITRATION FOR CLAIMS OF SEXUAL HARASSMENT OR SEXUAL ASSAULT appeared first on FINRA Lawyer Blog. [read post]
25 Jul 2022, 12:46 pm
FINRA Panel Rules Firms failed to protect Investors from the actions of a Broker. [read post]
25 Jul 2022, 11:07 am
For more information on the firm and its representation of investors through FINRA arbitration, please visit our website, www.whitesecuritieslaw.com. [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)Justice Department and Consumer Financial Protection Bureau Secure Agreement with Trident Mortgage Company to Resolve Lending Discrimination Claims / Settlement Provides Over $20 Million to Increase Credit Opportunities in Neighborhoods of Color / First Redlining Settlement Against Mortgage Company; Second Largest Redlining Settlement in Justice Department History… [read post]
25 Jul 2022, 4:10 am
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
25 Jul 2022, 4:10 am
GUEST BLOG: FINRA and Another Nail . . . [read post]
25 Jul 2022, 4:10 am
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
25 Jul 2022, 4:10 am
FINRA Small Firms Face Existential Crisis. [read post]
25 Jul 2022, 4:10 am
Securities America, Inc., et al., Respondents (FINRA Arbitration Award)District-Based Financial Services Professional Pleads Guilty to Federal ... [read post]
25 Jul 2022, 4:10 am
2017 FINRA Offer of SettlementIn response to the filing of a Complaint on July 15, 2016, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Robert Edward Loftus submitted an Offer of Settlement dated March 10, 2017, which the regulator accepted. [read post]
25 Jul 2022, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6575/securities-industry-commentator/FINRA Small Firms Face Existential Crisis. [read post]
22 Jul 2022, 7:18 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
22 Jul 2022, 5:28 am
---The attorneys at Sallah Astarita & Cox, LLC have been representing firms and brokers in FINRA disciplinary proceedings for decades. [read post]
