Uncategorized Archives - Page 14 of 28 - Epperson & Greenidge LLP

How Long Does FINRA Arbitration Take?

by dpepperson | Jun 8, 2018 | Uncategorized

Arbitration through FINRA can help you recover lost finances if you were misled or taken advantage of by a stockbroker or securities broker-dealer. This process is similar to filing a case in court, but FINRA’s process is often faster and uses rules and...

Do Stockbrokers Have to Notify You of Every Trade?

by dpepperson | Jun 6, 2018 | Uncategorized

When you work with a stockbroker, it may seem like you put your money in their care and hope for the best. In reality, you have a lot of control over your investment portfolio, and your stockbroker needs to inform you of the work they do on your account and...

Tips to Protect New Investors from Securities Fraud Scams

by dpepperson | Jun 1, 2018 | Uncategorized

Fraud and investment scams are always a risk in the financial field. There are specific, problematic scams like Ponzi schemes, but there are more subtle scams and fraudulent practices that may cause financial distress even for savvy investors. New...

FINRA bars Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)

by dpepperson | Jun 1, 2018 | Uncategorized

March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ralby was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ralby consented to the sanction and to the entry of...

FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)

by dpepperson | Jun 1, 2018 | Uncategorized

March 5, 2018 – An Office of Hearing Officers (OHO) decision became final in which Rodriguez-Stern was barred from association with any FINRA member in all capacities. The sanction was based on findings that Rodriguez-Stern failed to provide information and...

FINRA bars David Lloyd Barber (CRD #1165082, Newport Beach, California)

by dpepperson | Jun 1, 2018 | Uncategorized

March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Barber was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of...

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How Long Does FINRA Arbitration Take?

Do Stockbrokers Have to Notify You of Every Trade?

Tips to Protect New Investors from Securities Fraud Scams

FINRA bars Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)

FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)

FINRA bars David Lloyd Barber (CRD #1165082, Newport Beach, California)

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