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Categories
Posts
- November 2021 FINRA Disciplinary Actions
- Girard Bengali, APC, Investigating Christopher Booth Kennedy and Western International Securities, Inc.
- October 2021 FINRA Disciplinary Actions
- FINRA Disciplinary Actions September 2021
- FINRA Disciplinary Actions August 2021
- FINRA Disciplinary Action July 2021
- A Timeline of Robinhood’s Legal and Regulatory Stumbles
- FINRA Disciplinary Actions June 2021
- A TOAST TO OUR FIRST FIVE YEARS
- FINRA Disciplinary Actions May 2021
- FINRA Disciplinary Actions April 2021
- Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action
- Jason V. McHenry | FINRA Disciplinary Action
- Candice E. Montie | FINRA Disciplinary Action
- Ignacio Erhart Del Campo | FINRA Disciplinary Action
- Jiacheng Zhou | FINRA Disciplinary Action
- Gordon Bryan | FINRA Disciplinary Action
- Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action
- Colin Woolford | FINRA Disciplinary Action
- FINRA Disciplinary Actions March 2021
- American Independent Securities Group, LLC, Ryan Carlson, Nicholas Cioffi | FINRA Disciplinary Action
- Herbert G. Frey | FINRA Disciplinary Action
- J.W. Cole Financial, Inc. | FINRA Disciplinary Action
- Securities America, Inc. | FINRA Disciplinary Action
- Cambridge Investment Research, Inc. | FINRA Disciplinary Action
- Keith Holcomb | FINRA Disciplinary Action
- FINRA Disciplinary Actions February 2021
- Robinhood Claims Now Under Investigation By Girard Bengali, APC
- FINRA Disciplinary Actions January 2021
- FINRA Disciplinary Actions December 2020
- GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS
- Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC
- Bloomberg | E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil
- ETN Investors: Skydiving Without a Parachute in COVID-19 Economic Freefall
- Finra Hits High-Turnover Broker with Excessive Trading Sanction
- Caribbean Debt Crisis during The Pandemic: Why No Bailout Is in Sight
- Omar Bengali To Moderate PIABA Mediation Panel
- SEC Charges Investment Adviser and Principals for Breaching Fiduciary Duties
- NFL Star Adrian Peterson Points the Finger at Morgan Stanley Wealth Management in Arbitration
- Another Prestigious Selection
- FINRA Disciplinary Actions January 2020
- Delta Employees File Lawsuit Against Lands’ End Over Toxic Uniforms
- FINRA Disciplinary Actions December 2019
- FINRA Discipline October 2019
- UBS Yield Enhancement Strategy a losing option
- UBS Lawsuits: Y.E.S. Investments Two Thumbs Down
- FINRA Arbitration Panel Awards $347k for Girard Bengali Client
- Another Win In The Fight Against Corporate Greed
- Fired Morgan Stanley Broker-Restaurateur Files $30 Mln Complaint
- WHAT TO DO AFTER BEING HANDED THE FORM U5
- Be careful when signing a severance agreement
- Financial regulator proposes new rule
- U.S. women’s national team files lawsuit
- FINRA COULD IMPOSE NEW REGULATIONS ON BROKER-DEALERS AND FIRMS
- THE INVESTIGATIVE ROLE OF FINRA IN THE FINANCIAL INDUSTRY
- CAN YOU TRUST YOUR FINANCIAL ADVISOR?
- JUDGE RULES AGAINST LAW FIRM IN SANCTIONS MOTION
- FINRA SANCTIONS BROKER FOR UNDISCLOSED CUSTOMER LOAN
- OVERVIEW OF THE SEC’S ENFORCEMENT ACTIVITIES
- MAN RECEIVES FINRA BAN IN BITCOIN CASE
- CIVIL SUIT AGAINST SECURITIES AMERICA MAY HEAD TO ARBITRATION
- UNFAIR TRADE PRACTICES IN THE INSURANCE BUSINESS
- SECOND CLASS-ACTION LAWSUIT FILED AGAINST JONES DAY
- SURVEY REVEALS GENDER BIAS IN THE TECHNOLOGY SECTOR
- WE FIGHT BACK WHEN BROKERAGE FIRMS TAKE ADVANTAGE OF OTHERS
- ROBERT J. GIRARD II INCLUDED ON CALIFORNIA 2019 SUPER LAWYERS LIST
- ROBERT J. GIRARD II TO PRESENT AT PIABA MID-YEAR MEETING
- ELEMENTS OF AN INSURANCE BAD FAITH CLAIM
- IS YOUR INVESTMENT A RISK OR A SCAM?
- WHAT COUNTS AS DISCRIMINATION IN THE WORKPLACE?
- ARE LAWS CURBING ELDER FINANCIAL ABUSE WORKING?
- CAN YOU RECOGNIZE THE SIGNS OF AFFINITY FRAUD?
- WOMEN DISCRIMINATED AGAINST WHEN NOT ABLE TO BREASTFEED AT WORK
- BARRIERS REMAIN FOR WOMEN IN THE FINANCIAL INDUSTRY
- FEDERAL FRAUD INDICTMENT FOR EX-STATE ASSEMBLYMAN
- THE BASICS OF ELDER FINANCIAL ABUSE
- SEXUAL HARASSMENT SUIT DROPPED AFTER HEDGE FUND COUNTERSUES
- GIRARD BENGALI, APC ATTORNEY OMAR H. BENGALI NAMED A 2018 SOUTHERN CALIFORNIA RISING STAR
- IMPORTANT TIPS FOR RECOGNIZING BROKER MISCONDUCT
- FINRA CREATES NEW ELDER FINANCIAL ABUSE RULES
- GIRARD BENGALI, APC CELEBRATES SECOND ANNIVERSARY
- GIRARD BENGALI, APC ATTORNEYS NAMED TO SUPER LAWYERS
- GIRARD BENGALI, APC & WIGDOR, LLP SUE UBER TECHNOLOGIES
- INITIATING A FINRA ARBITRATION FOR INVESTORS (PART 2 IN A SERIES)
- INTRODUCTION TO FINRA ARBITRATION FOR INVESTORS (PART 1 OF A SERIES)
- GIRARD BENGALI WINS $1.8 MILLION FINRA AWARD
- GIRARD BENGALI CELEBRATES ONE YEAR ANNIVERSARY
- GIRARD BENGALI LAUNCHES NEW WEBSITE
- ROBERT J. GIRARD II AND OMAR BENGALI NAMED TO SUPER LAWYERS
- ADAM SNYDER JOINS GIRARD BENGALI
- ROBERT GIRARD WINS FORM U-5 EXPUNGEMENT