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9 Jun 2022, 7:56 am
(CRD#:5393), SAN FRANCISCO, CA Recovery of Investment Losses through FINRA Arbitration When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
9 Jun 2022, 6:13 am
At the moment, only FINRA and the Municipal Securities Rulemaking Board have rules on best execution requiring broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that customers receive the most favorable prices under prevailing market conditions.In addition to asking the staff to consider a new best execution rule, he also believes that broker-dealers and investors might benefit from more detail around the procedural standards brokers must meet… [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
7 Jun 2022, 5:12 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
7 Jun 2022, 3:29 am
Firms that fail to do so may be held responsible for any losses in a FINRA arbitration claim. [read post]
4 Jun 2022, 5:57 am
Kohn Announces 2022 Run for Small Firm Governor on FINRA Board of GovernorsGUEST BLOG [In]Securities: Buck Nekkid: The SEC on Full Frontal Disclosure by Aegis Frumento Esq (BrokeAndBroker.com Blog)Former Sales Manager Barred By FINRA After Assistant Takes His CE Training (BrokeAndBroker.com Blog)SEC Obtains Final Judgment Against a Rhode Island Investment Adviser Charged with Orchestrating Multi-Million Dollar Ponzi Scheme (SEC Release)Court of Appeals Affirms Order Against… [read post]
4 Jun 2022, 5:57 am
Morgan Securities Demolished In FINRA Non-Solicitation Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com... [read post]
4 Jun 2022, 5:57 am
The Nightmare of a Dream Job on Wall Street (BrokeAndBroker.com Blog)Southampton Woman Pleads Guilty to Elder Fraud Scheme (DOJ Release)Pair who went on the run after being found guilty of fraud at a now defunct precious metals firm, sentenced to prison / Defrauded 3,000 customers of more than $30 million (DOJ Release)SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCT / Synchronoss Technologies to Pay $12.5 Million to Settle Charges, Former CEO to… [read post]
4 Jun 2022, 5:57 am
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training (BrokeAndBroker.com Blog)Woman Wins $5.2 Million in Damages Against GEICO After Getting HPV In Insured's Car -- seriously! [read post]
4 Jun 2022, 5:57 am
Morgan Securities Demolished In FINRA Non-Solicitation Arbitration ... [read post]
3 Jun 2022, 10:40 am
Former Spartan Capital Securities Broker Accused of Unauthorized Trading The Financial Industry Regulatory Authority (FINRA) has barred ex-Spartan Capital Securities registered representative Marc Augustus Reda. [read post]
3 Jun 2022, 9:45 am
The CFTC and FINRA also place substantively identical injunctions regarding what defendants can say about their cases once they settle. [read post]
3 Jun 2022, 7:18 am
FINRA Claim to Recover Financial Losses FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
2 Jun 2022, 7:30 pm
To learn more about the White Law Group’s FINRA claims involving GWG L Bonds please see the following: Arete Wealth Management Lawsuit filed involving GWG L Bonds FINRA Lawsuit filed against G.A. [read post]
2 Jun 2022, 11:40 am
Rowe’s association with any FINRA member in all capacities. [read post]
2 Jun 2022, 9:36 am
The post SunTrust/Truist to pay more than $1 Million for FINRA Rules Violations appeared first on The White Law Group. [read post]
2 Jun 2022, 6:24 am
Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. [read post]
1 Jun 2022, 4:09 pm
The firm provides a full suite of legal services including: formation of hedge funds, private equity funds, and venture capital funds; adviser compliance and registration; counterparty documentation; equity financings and token offerings; SEC, CFTC, NFA and FINRA matters; seed deals; hedge fund due diligence; employment and compensation matters; and, routine business matters. [read post]
1 Jun 2022, 1:44 pm
The FINRA claim seeks damages in an amount between $500,000.01 and $1,000,000. [read post]
1 Jun 2022, 1:32 pm
Valenzuela and Morgan Stanley will also be required to pay $10,000 in lawyers’ fees, according to the FINRA award. [read post]
