Search for: "Finra"
Results 2381 - 2400
of 18,147
Sorted by Relevance
|
Sort by Date
10 Jan 2019, 12:53 pm
8 Firms hit with FINRA Fines in 2018 According to Investment News, the Financial Industry Regulatory Authority (FINRA) hit the following 8 firms with multi-million dollar fines in 2018. [read post]
25 Jan 2019, 7:01 am
The firm has handled over 600 FINRA arbitration cases, including handling claims against most of the FINRA registered broker-dealers. [read post]
5 Sep 2024, 1:29 pm
FINRA BrokerCheck – John Christoforidis The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
14 Mar 2013, 8:25 am
In FINRA's news release and in the underlying Letter of Acceptance, Waiver and Consent (AWC), FINRA detailed that Mr. [read post]
4 Mar 2016, 3:14 pm
(FINRA Reg. [read post]
15 Apr 2016, 12:04 pm
For the full FINRA findings, see FINRA Case # 2013039301501. [read post]
12 May 2012, 4:25 am
FINRA's press release stated that: FINRA found that from January 2008 through June 2009, the firms did not have adequate supervisory systems in place to monitor the sale of leveraged and inverse ETFs, and failed to conduct adequate due diligence regarding the risks and features of the ETFs. [read post]
22 Jan 2019, 9:15 am
His most two most recent disclosures are FINRA disciplinary actions. [read post]
12 May 2012, 4:25 am
FINRA's press release stated that: FINRA found that from January 2008 through June 2009, the firms did not have adequate supervisory systems in place to monitor the sale of leveraged and inverse ETFs, and failed to conduct adequate due diligence regarding the risks and features of the ETFs. [read post]
15 Feb 2013, 2:09 pm
FINRA Warns That Rising Interest Rates Would Hurt Some Bond Owners Worse Than Others. [read post]
11 Nov 2010, 6:32 am
I believe that we can likely expect some type of rule-making in this area by FINRA, the SEC, or both, especially in light of the study requirements of Dodd-Frank. [read post]
27 May 2011, 8:32 am
FINRA has made it clear that private placements are the organizations number one investor protection area for this year. [read post]
23 Jan 2020, 2:05 pm
FINRA Broker Disciplinary Action Report: January 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
19 Sep 2011, 8:14 am
FINRA released additional guidance last month, expanding upon the notice issued last year. [read post]
7 Jul 2021, 1:06 pm
According to FINRA’s Letter of Acceptance, Waiver and Consent with Shafer, FINRA investigated whether Shafer borrowed money from a customer, but Shafer did not appear for on-the-record testimony in response to FINRA’s request. [read post]
20 May 2019, 10:42 am
FINRA found in favor of the claimant, Oppenheimer. [read post]
2 Mar 2010, 2:29 pm
In an annual letter to member firms, the FINRA departments of Member Regulation, Market Regulation and Enforcement outlined some of their 2010 examination priorities, as well as updated firms on other news and events. [read post]
27 Jun 2013, 9:55 am
According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and ordered to pay more than $353,000 in restitution to customers for charging excessive markups and markdowns in fraudulent corporate bond transactions. [read post]
10 Jul 2017, 10:15 am
FINRA June 2017 Disciplinary Report According to FINRA, Gregg Templeton (CRD #2412775, New York, New York) submitted an AWC in which he was barred from association with any FINRA member in all capacities. [read post]
28 Dec 2020, 1:24 pm
After declining to assist with FINRA’s investigation, FINRA issued sanctions which include an indefinite bar from any association with an associated firm. [read post]
