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22 Jul 2022, 3:39 am
Our firm has represented numerous investors in FINRA claims who lost money investing in the Parking REIT and other non-traded REITs. [read post]
21 Jul 2022, 10:43 am
In response, FINRA announced that it would retain an independent firm to conduct an investigation. [read post]
21 Jul 2022, 9:21 am
See the significant FINRA panel award of $210,000, which was 100% of our client’s YES losses and Investment News’ coverage of the win. [read post]
21 Jul 2022, 7:02 am
July 21, 2022 Clients, Friends, Associates: As we end the second quarter and enter the summer season, we would like to highlight some of the recent industry updates and occurrences we found to be interesting and impactful. [read post]
21 Jul 2022, 6:46 am
In addition to representing whistleblowers, David represents defrauded stock market investors, and provides SEC and FINRA securities regulatory defense. [read post]
21 Jul 2022, 4:59 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
21 Jul 2022, 3:02 am
July 21, 2022 Clients, Friends, Associates: As we end the second quarter and enter the summer season, we would like to highlight some of the recent industry updates and occurrences we found to be interesting and impactful. [read post]
20 Jul 2022, 12:17 pm
Hiko, Nevada Financial Advisor, BL Whipple Wealth Management, LLC Three investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Newbridge Securities. [read post]
19 Jul 2022, 12:21 pm
For more information on the firm and its representation of investors through FINRA arbitration, please visit our website, www.whitesecuritieslaw.com. [read post]
19 Jul 2022, 11:24 am
FINRA just released its 2022 Arbitration Statistics.New cases are down over last year, only 781 Customer cases, and 479 Industry cases filed so far this year.Interesting that there were 54 Regulation BI Cases filed, we expect to see that increase going forward. [read post]
18 Jul 2022, 10:56 am
Discussion will also include common issues relating to registration (e.g., U4/U5 disputes) or other employment disputes, regulatory implications for financial professionals called before the SEC or FINRA (i.e., via subpoena or FINRA 8210 requests), and considerations for when there are civil or criminal penalties at stake. [read post]
18 Jul 2022, 9:35 am
Claimants Allege Unsuitability, Concentration, and Misrepresentation Investors from Utah and Arizona have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $1M in damages related to their GWG Holdings L Bond losses. [read post]
18 Jul 2022, 4:06 am
Wage WarIn a FINRA Arbitration Statement of Claim filed in September 2019, FINRA member firm Easterly Securities LLC sought a declaratory judgment. [read post]
18 Jul 2022, 4:06 am
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute (BrokeAndBroker.com Blog)Keller Man Sentenced to 14 Years in Prison and Ordered to Pay $14M in Restitution for Ponzi Scheme (DOJ Release)SEC Obtains Final Judgment Against Individual in ICO Promotion Scheme; Files Notice of Death as to John McAfee, Resulting in Dismissal of Claims (SEC Release)Federal Court Imposes Over $29 Million in Restitution and Penalties Against California and Colorado… [read post]
18 Jul 2022, 4:06 am
Join Aegis as he tries to make sense out of the senseless.GUEST BLOG: FINRA and Another Nail . . . [read post]
18 Jul 2022, 4:06 am
KOHN FOR SMALL FIRM GOVERNORGUEST BLOG: FINRA and Another Nail . . . [read post]
18 Jul 2022, 4:06 am
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute (BrokeAndBroker.com Blog)Uber Commits To Changes And Pays Millions To Resolve Justice Department Lawsuit For Overcharging People With Disabilities (DOJ Release)Oyster Bay Residents Charged with $27 Million Investment Fraud Scheme and Selling Foreign Nationals Access to Prominent U.S. [read post]
18 Jul 2022, 4:06 am
<a href="#kohn">Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
18 Jul 2022, 3:03 am
FINRA continues to monitor the sale of REITs, in particular, the ways in which broker/dealers marketed and sold the products to investors. [read post]
15 Jul 2022, 12:53 pm
Continue reading › The post FINRA ENFORCEMENT SEEKS BAR FOR FAILURE TO ATTEND AN OTR AND GETS DENIED BY THE OHO appeared first on FINRA Lawyer Blog. [read post]
