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厙ぴ勛圖 Blog

FINRA Arbitration Panel Awards Double Damages to Florida Investor Over Advisors Egregious Lies

April 17th, 2023 at 4:11 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has doubled the damages a former advisor must pay to a Florida-based investor due to the “particularly egregious” lies the advisor told to convince the client to invest in a fraud.
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FINRA Arbitration Panel Orders 厙ぴ勛圖lls Fargo To Pay Client $500,000 For Mismanagement of McDonalds Stock Options

April 14th, 2023 at 2:03 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered 厙ぴ勛圖lls Fargo to pay a former McDonald’s franchise owner $500,000 for allegedly mishandling stock options he owned in the company.
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SEC Orders Merrill Lynch to Pay $9.7 Million For Failing to Disclose Foreign Exchange Fees

April 13th, 2023 at 1:21 PM
The Securities and Exchange Commission (SEC) has ordered Merrill Lynch to pay $9.7 million for failing to disclose certain foreign exchange fees charged to clients for currency conversions.
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FINRA Bars Former LPL and Raymond James Advisor Who Improperly Borrowed $850,000 From Clients

April 12th, 2023 at 1:16 PM
The Financial Industry Regulatory Authority (FINRA) has barred a Chattanooga-based financial advisor who improperly borrowed at least $850,000.
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Blackstone REIT Limited Investor Redemptions in March

April 11th, 2023 at 1:14 PM
Blackstone Real Estate Income Trust, a non-traded real estate investment trust sponsored by Blackstone Group, announced that the company fulfilled only 15% of repurchase requests in March.
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SEC Seeks to Expand Dealer Definition to Expand Regulatory Oversight

April 11th, 2023 at 8:47 AM
The Securities and Exchange Commission (SEC) is seeking to expand its definition of “securities dealers”, which has resulted in criticism from various private fund and investment advisors that wish to avoid additional regulatory oversight.
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FINRA Submits Further Revisions To Remote Supervision Proposal

April 6th, 2023 at 3:05 PM
The Financial Industry Regulatory Authority (FINRA) has submitted to the Securities and Exchange Commission (SEC) another revision to one of its two remote supervision proposals. 
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FINRA Warns Firms Regarding Fraudulent Account Transfers

April 5th, 2023 at 1:54 PM
The Financial Industry Regulatory Authority (FINRA) is warning financial advisory firms about a recent increase in fraudulent transfers of client accounts via the Automated Customer Account Transfer Service (ACATS).
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Morgan Stanley Ordered to Pay $782,000 Over Mismanagement of Clients Estate

April 4th, 2023 at 1:05 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Morgan Stanley to pay $782,000 to a client’s estate after the firm allegedly ignored court-ordered limits when permitting a conservator to withdraw from the account.
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Non-Traded REIT Redemptions Exceed 350% of Fundraising in February

April 3rd, 2023 at 1:31 PM
Fundraising among non-traded real estate investment trusts has dipped to $489 million in February 2023, which constitutes the lowest point since August 2020.
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LATEST NEWS AND ARTICLES

1783615970 Law
July 9, 2026
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

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July 8, 2026
SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.

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July 7, 2026
Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.