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Lost Money Investing in Foresight Energy LP (FELP)???
Did your financial advisor invest your money in Foresight Energy LP (“FELP”)? On June 30, 2020, Foresight Energy LP (“Old Foresight”) announced its chapter 11 plan for a bankruptcy reorganization. Our law firm is investigating financial advisors and brokers who...
read moreHow Long Does FINRA Arbitration Take?
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 professional...
Do Stockbrokers Have to Notify You of Every Trade?
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 listen to...
Tips to Protect New Investors from Securities Fraud Scams
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 investors without...
FINRA bars Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)
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 findings that...
FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)
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 documents...
FINRA bars David Lloyd Barber (CRD #1165082, Newport Beach, California)
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 findings...