Search for: "Financial Industry Regulatory Authority"
Results 2161 - 2180
of 11,296
Sorted by Relevance
|
Sort by Date
17 Nov 2011, 1:14 pm
According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of designations implying special expertise in working with older investors. [read post]
18 Mar 2010, 10:17 am
Susan Merrill, the head of enforcement at the Financial Industry Regulatory Authority (FINRA) is departing after nearly three years in which disciplinary actions and fines against the brokerage industry have declined, reported Sue Craig of the Wall Street Journal in her March 18 article, “Finra’s Susan Merrill to Exit as Enforcement Chief. [read post]
26 Apr 2012, 8:25 pm
FINRA recently announced that Joel Blumenschein, president of Freedom Investors Corp. and a board member of the Financial Industry Regulatory Authority Inc., has been suspended as a principal of his firm for three months and fined $30,000 in a failure-to-supervise case. [read post]
16 Nov 2011, 6:11 am
JPMorgan Chase & Co. has been ordered by the Financial Industry Regulatory Authority (FINRA) to reimburse customers more than $1.9 million for losses that occurred from unsuitable investment recommendations. [read post]
5 Nov 2023, 6:28 pm
In a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Richard S. [read post]
15 Jul 2010, 1:03 pm
Meanwhile, hundreds of additional individual arbitration claims await decisions from the Financial Industry Regulatory Authority (FINRA). [read post]
13 May 2011, 8:00 am
SEC announced that national securities exchanges and the Financial Industry Regulatory Authority (FINRA) had filed a proposal to replace the circuit breakers for individual stocks, currently in place as part of a pilot project, with a "limit up-limit down" mechanism. [read post]
21 Feb 2012, 10:03 am
References to the Financial Industry Regulatory Authority (FINRA) replace existing references to the National Association of Securities Dealers (NASD) throughout the Illinois securities rules, to reflect the official name of the organization that now regulates broker-dealers and investment advisers, effective February 8, 2012. [read post]
18 May 2011, 4:28 am
In the wake of soured private placement deals in Medical Capital Holdings and Provident Royalties - as well as other investments gone bad at the hands of rogue brokers - the Financial Industry Regulatory Authority (FINRA) is putting more information about its disciplinary actions online for investors and others to view. [read post]
15 May 2008, 7:38 am
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA). [read post]
16 Jun 2015, 6:46 am
The Financial Industry Regulatory Authority (FINRA) ordered RBC Capital Markets (RBC) to pay a $1 million fine and approximately $434,000 in restitution to customers for alleged supervisory failures resulting in sales of unsuitable reverse convertibles. [read post]
11 Feb 2019, 7:03 pm
Recently, Japan announced that it would permit the cryptocurrency industry to self-regulate. [read post]
8 Aug 2018, 9:05 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Robert W. [read post]
14 Oct 2014, 6:29 am
According to broker Lorene Fairbank’s (Fairbank) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that From August 2006, through February 2012, she effected approximately 57-69 discretionary transactions for seven firm customers without written authorization from the customers or approval from the firm. [read post]
6 Dec 2015, 6:05 am
The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2015045744901) against Kasbar alleging that between 2010 and 2015, Kasbar engaged in an outside business activity beyond the scope of the approvals provided by his FINRA member firm – also referred to as “selling away” in the industry – HD Vest Investment Services (HD Vest) and LPL Financial, LLC (LPL). [read post]
29 Dec 2011, 12:00 am
Over time, Congress has turned over ever-greater amounts of regulatory authority to an ever-expanding array of federal agencies. [read post]
25 Jun 2018, 8:23 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Michael Resciniti (Resciniti). [read post]
28 Nov 2016, 8:10 am
A unanimous panel of the United States Court of Appeals for the Fourth Circuit has reportedly upheld a contested $900,000 Financial Industry Regulatory Authority (“FINRA”) arbitration award. [read post]
18 Oct 2013, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred broker Jerry McGlothlin from associating with any member firm for engaging in outside business activities, engaging in private securities transactions, providing false responses on annual compliance questionnaires, and failing to respond to FINRA requests for information. [read post]
23 Jan 2018, 7:15 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Theordore Crowley (Crowley) has been subject to a customer complaint. [read post]
