Insights
December 4, 2024
Arbitration Awards: What to Expect and How to Maximize Your Recovery When it comes to investment losses, seeking justice and fair compensation is a top priority for individuals and institutions who ha...
December 1, 2024
Title: The Arbitration Process: From Filing to Award As investors, we put our trust in financial advisors and brokers to guide us through the complex world of investments. However, when that trust is ...
August 30, 2024
There are two ways of handling investment and financial securities-related disputes. One is litigation and the other is arbitration. Litigation involves taking legal action while arbitration is about ...
August 1, 2024
A significant legal battle is unfolding as more than 70 investors have filed a FINRA complaint against Triad Advisors, .alleging that the firm failed to supervise two former brokers who led them into ...
July 3, 2024
In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain tra...
August 10, 2023
David Wayne Krumrey, a former stockbroker registered with Oppenheimer Co. Inc. and based in The Woodlands, Texas, is facing multiple customer-initiated investment-related arbitration claims, with inve...
August 2, 2023
FINRA Warned of Risks of VIX-Linked Exchange Traded Products A recent spike in stock market volatility has brought into focus the enormous risks associated with certain exchange-traded-products...
September 16, 2022
Oppenheimer & Co., Inc. has been hit with a $36.7 million award against it, issued by a panel of arbitrators with the Financial Industry Regulatory Authority (“FINRA”). The arbitration arose from ...
September 1, 2022
Michael Todd, of Crystal River, Florida, has been fired by Centaurus Financial, Inc. after failing to cooperate with an investigation into a customer’s complaint, according to his FINRA BrokerCh...
August 29, 2022
The Financial Industry Regulatory Authority (“FINRA”) has barred former T3 Trading Group stockbroker Suresh Kumar, of Mission, Kansas, from ever working or associating as a FINRA registere...
August 22, 2022
David N. Wood, a stockbroker with Moloney Securities, Inc.’s Manchester, Missouri office, is the subject of a $600,000 customer complaint filed with the Financial Industry Regulatory Authority (“FINRA...
August 15, 2022
John Dennis Lowry, the owner of Spartan Capital Securities, LLC of New York, New York, has been named as a party in a pending FINRA Disciplinary Proceeding, according to his FINRA BrokerCheck Report ....
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