Tag Archives: FINRA

FINRA Bars 15+ Representatives In November 2018

Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated … Continue reading

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Silver Law Group and the Law Firm of David R. Chase Files a Second FINRA Arbitration Claim Against Independent Financial Group Concerning Selling Away Claims

Silver Law Group and The Law Firm of David R. Chase have filed their second FINRA arbitration claim against Independent Financial Group alleging its broker recommended the services of an individual who was running a Ponzi scheme. According to the … Continue reading

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ANOTHER FORMER CREDIT SUISSE ADVISER REPRESENTED BY LAX & NEVILLE LLP WINS A FINRA ARBITRATION AWARD AGAINST CREDIT SUISSE SECURITIES (USA) LLC IN THE DEFERRED COMPENSATION ARBITRATIONS

On November 6, 2018, a former Credit Suisse investment adviser represented by Lax & Neville LLP, a leading securities and employment law firm, won a FINRA arbitration award against Credit Suisse Securities (USA) LLC for unpaid deferred compensation.  This is … Continue reading

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World Investor Week: CFTC’s FinTech Forward 2018 and SEC, NFA, FINRA Events

World Investor Week is a 7 day global campaign dedicated to investor protection and education. The CFTC, NFA ,SEC and FINRA will participate. The post World Investor Week: CFTC’s FinTech Forward 2018 and SEC, NFA, FINRA Events appeared first on CFTC … Continue reading

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FINRA Sanctions Against Oppenheimer & Co.

The Financial Industry Regulatory Authority (FINRA) sanctioned Oppenheimer & Co. Inc. more than $3.4 million in November of 2016 due to Oppenheimer’s failing to report required information to FINRA, failing to produce documents in discovery to customers who filed arbitrations, … Continue reading

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