Search for: "Finra"
Results 3061 - 3080
of 18,147
Sorted by Relevance
|
Sort by Date
7 Dec 2011, 8:27 am
The proposals related to FINRA [...] [read post]
15 Nov 2010, 6:03 pm
FINRA noted that as of mid-October, 4642 firms are registered with FINRA as a broker-dealer. [read post]
13 Sep 2010, 7:33 pm
FINRA proposed this change, and the SEC quickly approved [...] [read post]
6 Jul 2015, 10:56 am
In June (yes, I am behind on my blogging), the FINRA Dispute Resolution Task Force, which FINRA formed last summer (see here), issued an “Interim Summary of Key Issues” to “alert users of the forum, arbitrators, mediators and the general public to its current thinking on the key issues before it. [read post]
26 Jun 2013, 10:42 am
FINRA. [read post]
16 Nov 2023, 7:32 am
Investors rely on regulatory bodies like FINRA (Financial Industry Regulatory Authority) to hold financial professionals accountable for any misconduct and to ensure a fair and transparent marketplace. [read post]
16 Sep 2024, 9:06 am
Continue reading › The post Malecki Law Had First Female-Led IPHC – Is Diversity in the FINRA Space on the Rise? [read post]
21 Dec 2020, 9:46 am
FINRA has sanctioned Transamerica Financial Advisors, Inc. [read post]
19 Nov 2020, 5:10 am
Specifically, FINRA alleged: Continue reading The post Former Merrill Lynch Broker Douglas Stopkey Suspended by FINRA for 30 Days Over Unauthorized Trading and Mismarked Orders in Senior Customer Accounts appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Nov 2015, 12:35 pm
Adams also failed to report a dozen unsatisfied judgments and liens on his U4 Registration Form as required by FINRA rules. [read post]
17 Feb 2021, 11:58 am
The post Member Firms ask FINRA to Redefine Supervision after Working Remotely appeared first on The White Law Group. [read post]
24 Apr 2023, 5:58 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-02093. [read post]
17 Nov 2020, 6:16 am
The regulator is seeking to amend two current private placement rules, FINRA Rule 5122 and FINRA Rule 5123, requiring broker dealers to file communications in order to improve compliance and protect investors. [read post]
1 Aug 2017, 8:13 am
For FINRA’s full findings see FINRA Case #2014042190801. [read post]
2 Jul 2019, 12:51 pm
FINRA arbitration, FINRA lawyer, Summit Brokerage services sanctioned, Summit Supervisory failures, The post FINRA Fines Summit Brokerage Services Inc. $550,000 appeared first on The White Law Group. [read post]
13 Mar 2020, 2:23 pm
Customers of any FINRA-registered firm such as Wells Fargo are required to resolve disputes through FINRA’s arbitration process. [read post]
23 Sep 2016, 10:50 am
According to the Financial Industry Regulatory authority (FINRA) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules. [read post]
13 Mar 2015, 11:50 am
In settling this matter, Brookville and Lodati neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. [read post]
16 Feb 2012, 9:50 am
The top issues listed on FINRA’s watch list include: Better Conduct In a 16-page letter posted on its website, FINRA outlines its regulatory and examination priorities for 2012. [read post]
25 Oct 2017, 8:24 am
(FINRA Case #2016051495801) Mathew M. [read post]
