Fort Lauderdale, Boca Raton, Delray Beach, Lantana, Lake Worth and West Palm Beach, Florida Elder Financial Abuse and Exploitation Litigation and FINRA Arbitration Attorney: SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers The Securities and Exchange Commission recently charged a broker based in Roanoke, Va., with defrauding elderly…
Articles Posted in Churning
Dawson James Securities, Inc. – Boca Raton, Florida Broker/Dealer Sales Practice Violations FINRA Arbitration and Litigation Attorney
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the…
Keith Andrew Halsnik – Florida Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney
Florida Securities Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In…