Search for: "Financial Industry Regulatory Authority"
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7 Apr 2021, 11:29 am
Many regulatory systems also rely on private-sector enforcers, such as certification bodies, self-regulatory organizations, accountants, lawyers and other “gatekeepers. [read post]
7 Apr 2021, 1:43 am
., a Financial Industry Regulatory Authority (FINRA) member firm since February 2018. [read post]
7 Apr 2021, 1:43 am
., a Financial Industry Regulatory Authority (FINRA) member firm since February 2018. [read post]
6 Apr 2021, 6:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Dawson James Securities, Inc. [read post]
6 Apr 2021, 10:58 am
Potential Lawsuits to Recover Investment Losses Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
6 Apr 2021, 9:02 am
Broker-Dealers Collectively Will Pay $550K Fine and Over $3.3M in Restitution The Financial Industry Regulatory Authority (FINRA) has fined and censured three brokerage firms after finding that they failed to supervise recommendations of the LJM Preservation and Growth Fund (LJMIX, LJMCX, LJMAX) and did not conduct the proper due diligence into the alternative mutual fund: Cambridge Investment Services will pay a $400K fine plus more than $3M in… [read post]
6 Apr 2021, 7:57 am
Previously registered broker Jeffrey Raymond Dixson is the respondent in multiple customer disputes instituted against him on the allegations of unsuitable investment recommendations, and violation of the Financial Industry Regulatory Authority (FINRA) rules among others, according to an investigation of public records by lawyer Alan Rosca. [read post]
6 Apr 2021, 7:57 am
Previously registered broker Jeffrey Raymond Dixson is the respondent in multiple customer disputes instituted against him on the allegations of unsuitable investment recommendations, and violation of the Financial Industry Regulatory Authority (FINRA) rules among others, according to an investigation of public records by lawyer Alan Rosca. [read post]
6 Apr 2021, 6:26 am
Regulatory authorities such as the SEC and FINRA have steadily heightened the supervisory obligations of brokerage firms in recent years. [read post]
5 Apr 2021, 2:00 pm
Here is the authors’ article. [read post]
5 Apr 2021, 12:14 pm
Collaborator: Do you like to work in teams— to share ideas, brainstorm, co-author products, and advance shared priorities? [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
5 Apr 2021, 9:24 am
The report discussed instances in which arbitrations administered by the Financial Industry Regulatory Authority “specifically enforced servicemembers’ rights under USERRA. [read post]
5 Apr 2021, 7:01 am
Allegedly Unsuitable Recommendations Caused Senior Investor Loss of Savings A Brunswick, Georgia retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against broker-dealer MML Investors Services, LLC. [read post]
5 Apr 2021, 6:32 am
Investors have filed multiple Financial Industry Regulatory Authority (FINRA) arbitration claims against stockbrokers at multiple different brokerage firms. [read post]
4 Apr 2021, 12:00 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ryan Wroblewski (Wroblewski), currently employed by Morgan Stanley and formerly registered with Aegis Capital Corp. [read post]
2 Apr 2021, 12:45 pm
The AML Act is part of the FY 2021 National Defense Authorization Act, which became law on January 1, 2021. [read post]
2 Apr 2021, 12:45 pm
The AML Act is part of the FY 2021 National Defense Authorization Act, which became law on January 1, 2021. [read post]
2 Apr 2021, 8:14 am
The Financial Industry Regulatory Authority (FINRA) is a government authorized non-profit designed to protect investors by overseeing and regulating U.S. broker-dealers. [read post]
