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Can your investment in ATEL 16, LLC be the basis for a FINRA arbitration claim?
Have you lost money due to your purchase of shares of ATEL 16, LLC or are you unable to sell your stake in this investment? ATEL 16, per its Prospectus “[acquires] a diversified portfolio of leased equipment, equipment financing transactions and other investments,...
read moreFINRA suspends Dennis Ernest Beeby (CRD #1879834, San Diego, California)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beeby was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for eight months and ordered to pay deferred disgorgement of...
FINRA suspends Paul Kreindler (CRD #275334, New York, New York)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kreindler was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings,...
FINRA suspends Rahim Shah (CRD #6482164, Plano, Texas)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shah was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings, Shah...
FINRA suspends Mark Jude Ketner (CRD #1138522, Dix Hills, New York)
March 27, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ketner was fined $5,000, suspended from association with any FINRA member in all capacities for two months and ordered to pay $1,054.33, plus interest, in restitution to a customer....
The Difference Between FINRA Arbitration and Lawsuits
FINRA stands for the Financial Industry Regulatory Authority, an organization that provides certification standards for financial industry professionals and helps customers and consumers of financial products get help with scams, fraud, and other issues. One of the...
Warning Signs that Your Financial Advisor is Churning Your Account
“Trade churning” is the name given to a practice that many financial advisors use to abuse their investors’ trust and rack up high bills. The Financial Industry Regulatory Authority (FINRA) has rules and regulations governing financial advisors and other financial...