Search for: "Financial Industry Regulatory Authority"
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14 Aug 2010, 10:05 am
The Financial Industry Regulatory Authority on Tuesday said it ordered Morgan Stanley to pay $800,000 for failing to disclose conflicts of interests in thousands of equity-research reports and public appearances of its research analysts since 2006. [read post]
26 Aug 2013, 8:05 am
If so, The White Law Group may be able to help you recover your losses by filing an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2011, 11:32 am
Last month, the Financial Industry Regulatory Authority (FINRA) issued an investor alert cautioning investors about the risks of the products. [read post]
23 Aug 2024, 9:05 pm
The post Enhanced Regulatory Oversight in ESG Investing first appeared on The Regulatory Review. [read post]
21 Dec 2018, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Hendershott concern allegations of unsuitable investments and allegations of overconcentration. [read post]
6 Apr 2020, 7:44 am
Dewes was barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. [read post]
23 Aug 2017, 11:30 am
While the commencement of the FSR Act is unlikely to drastically change the existing regulatory framework with immediate effect i.e. the current ambit of financial services legislation and licenses will remain in force, it will soon herald changes in respect of regulatory supervision with each type of financial institution being allocated to either the Prudential Authority or the Financial Sector Conduct Authority. [read post]
23 Aug 2017, 11:34 am
While the commencement of the FSR Act is unlikely to drastically change the existing regulatory framework with immediate effect i.e. the current ambit of financial services legislation and licenses will remain in force, it will soon herald changes in respect of regulatory supervision with each type of financial institution being allocated to either the Prudential Authority or the Financial Sector Conduct Authority. [read post]
4 Jul 2018, 11:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James and Lorraine Conaway (Conaway), formerly associated with USA Financial Securities Corporation (USA Financial) in Tustin, California was terminated by his firm concerning allegations of failure to comply with firm advertising and outside business activity (OBA) procedures, participating in financial transactions with securities… [read post]
10 Jan 2020, 12:13 pm
FINRA BARS BROKERS WHO MISTREATED ELDERLY CLIENTSThe Financial Industry Regulatory Authority (FINRA) barred two brokers who allegedly committed infractions by treating elderly clients poorly and failure to cooperate with FINRA’s investigations into their actions. [read post]
14 Jul 2012, 5:43 pm
Court of Appeals for the Second Circuit is allowing a $20.5M award issued by a Financial Industry Regulatory Authority arbitration panel against Goldman Sachs Execution & Clearing LP to stand. [read post]
13 Feb 2017, 11:50 am
FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized arbitration system for settling disputes between brokers and clients or among industry parties. [read post]
16 Apr 2018, 11:28 am
In addition to litigation, state authorities can influence consumer financial protection through supervision and regulation. [read post]
28 Aug 2012, 7:49 am
FINRA (the Financial Industry Regulatory Authority) has issued a warning to financial services firms that they need to heighten their supervision of and compliance procedures associated with complex products. [read post]
15 Feb 2018, 10:03 am
Critical to our efforts is the regulatory framework and enforcement authorities we have in place that govern the use of virtual currency. [read post]
31 Oct 2019, 6:20 am
On October 25, an all-public Financial Industry Regulatory Authority Inc. panel reportedly ruled that Raymond James was liable for transactions allegedly conducted by former financial advisor James Edward Lyons (Eddie Lyons), who was reportedly barred last year from the securities industry. [read post]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
10 Aug 2017, 9:32 am
Lightsey Fails to Appear at FINRA Hearing According to The Financial Industry Regulatory Authority, Bryan C. [read post]
12 Oct 2011, 10:28 am
The Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers) regulates and oversees the brokerage industry. [read post]
5 Mar 2010, 2:37 pm
New Jersey broker David Steven Forman has been barred by the Financial Industry Regulatory Authority (FINRA) following allegations he ran an insurance scheme involving the sale a $5 million life insurance policy to a trust, which Forman - a former representative with the Private Consulting Group - then allegedly took control of. [read post]
