Tag: FINRA arbitration lawyer
Brokerage Firm Best Execution Requirements
What is the FINRA Rule 5310 Best Execution Rule? FINRA Rule 5310 is a regulation created by the Financial Industry Regulatory Authority...
FINRA Arbitration Statistics through early 2015
FINRA recently reported updated statistics on the number and type of arbitration claims being filed in 2015 relative to previous years. A...
Lawsuit filed against Centaurus Financial
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against...
William Brian Mulder Barred from Securities Industry
William Brian Mulder, Merrill Lynch, Tulsa, OK Are you concerned about investments with William Brian Mulder? If so, the securities...
FINRA Awards TIC Investor $1.17 Million
According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two...
Deutsche Bank Securities fined by FINRA
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and...
