Search for: "Finra"
Results 3101 - 3120
of 18,147
Sorted by Relevance
|
Sort by Date
5 Jan 2015, 8:34 am
None of these individuals, however, was apparently registered in any capacity with FINRA. [read post]
22 Jan 2021, 10:53 am
FINRA says that there... [read post]
30 Oct 2023, 6:17 am
In addition to publishing the underlying report, FINRA issued a news release about the report: "Quantum Computing Has Potential to Reshape Securities Industry, New FINRA Report Says / Report Brings Attention to Opportunities and Risks Presented by the Technology (FINRA News Release / October 30, 2023)"https://www.finra.org/media-center/newsreleases/2023/quantum-computing-has-potential-reshape-securities-industry-new In part, the FINRA News Relea... [read post]
14 Feb 2020, 7:46 am
"Wide Open Arbitration Slam Dunks For Two FINRA Firms. [read post]
30 Aug 2017, 9:31 am
This time, FINRA says, it will be different. [read post]
13 Dec 2017, 8:04 am
This is not the first time the firm has been in hot water with FINRA. [read post]
7 Dec 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038133001) against broker Joseph Daigneault (Daigneault) resulting in a monetary sanction and a suspension. [read post]
11 Apr 2011, 1:00 pm
It's good to see FINRA stepping up and fining UBS in this matter. [read post]
11 Apr 2011, 1:00 pm
It's good to see FINRA stepping up and fining UBS in this matter. [read post]
12 Mar 2021, 11:01 am
Jensen engaged in the following conduct in violation of FINRA rules: Jensen was the broker of record for several accounts held by a customer who was a widow and in her 90s. [read post]
15 May 2023, 8:24 am
Anderson recommended that an elderly customer purchase $1 million worth of mutual funds across 31 fund families without considering that the customer could have qualified for volume-based “breakpoint” discounts if he had invested in fewer, according to Finra. [read post]
21 Apr 2016, 9:30 am
Following a hearing, a FINRA panel rejected the investors’ claims. [read post]
3 Mar 2015, 8:40 am
This is likely due to the arbitrary nature of FINRA arbitration and the risk both sides take leaving their fates up to FINRA arbitration panels. [read post]
20 Apr 2022, 12:42 pm
However, he is not affiliated with any FINRA member firm. [read post]
7 Oct 2021, 12:18 pm
The post FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Aug 2014, 2:06 pm
If so, White Law Group may be able to recover some of your investment losses through a FINRA arbitration claim. [read post]
18 Aug 2014, 2:00 pm
If so, White Law Group may be able to recover some of your investment losses through a FINRA arbitration claim. [read post]
19 Jan 2011, 6:38 pm
As FINRA’s stated intention is to increase investor protection, the amended rule is designed to combat fraud and abuse, by expanding oversight to all private placements in which a FINRA member participates, subject to certain exemptions. [read post]
8 Feb 2021, 10:35 am
Frank Zito Was Registered with FINRA for 25 Years Former broker Frank Zito joined the securities in August 1996. [read post]
8 Feb 2021, 10:35 am
Frank Zito Was Registered with FINRA for 25 Years Former broker Frank Zito joined the securities in August 1996. [read post]
