Search for: "Financial Industry Regulatory Authority"
Results 3381 - 3400
of 11,225
Sorted by Relevance
|
Sort by Date
15 Mar 2017, 6:23 am
In February 2017, the Financial Industry Regulatory Authority Inc. [read post]
19 Jun 2009, 2:35 pm
The Department of Treasury released its financial regulatory reform proposal on June 17. [read post]
18 May 2012, 7:13 am
Financial Industry Regulatory Authority, Inc., No. [read post]
7 Mar 2021, 4:58 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mack Miller (Miller), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least three customer complaint, one regulatory action, and three judgement or liens during his career. [read post]
19 Jun 2009, 3:05 pm
The Obama Administration’s proposed regulatory reform has been called by the Wall Street Journal “the most sweeping overhaul of the way the U.S. government oversees financial markets since the 1930s. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
18 Jul 2014, 9:59 am
As reported by InvestmentNews, A Financial Industry Regulatory Authority (FINRA) official recently expressed concern over the sale of variable annuities as the products continue to evolve and become more complex. [read post]
11 Jan 2012, 3:23 pm
A Financial Industry Regulatory Authority arbitration panel has ordered Oppenheimer & Co. to repurchase the $5.98 million in New Jersey Turnpike ARS that it sold Nicole Davi Perry in 2007. [read post]
23 Aug 2017, 11:55 am
Cetera Financial Group Settles with FINRA According to reports, five Cetera Financial Group broker-dealers reached settlements with the Financial Industry Regulatory Authority totaling $3.3 million for failing to supervise the application of mutual fund sales charge waivers to eligible clients in retirement plans and at charitable organizations. [read post]
22 Feb 2024, 10:30 am
The first regards “regulatory humility. [read post]
16 Feb 2018, 11:01 am
Public records published by the Financial Industry Regulatory Authority (FINRA) indicate that Portage, Michigan-based PFS Investments broker Daniel Hartley was sanctioned following allegations of “dishonest and unethical business practices,” by the State of Michigan in 2016. [read post]
28 Jun 2016, 2:05 pm
Morgan Stanley broker Armando Fernandez has been suspended by the Financial Industry Regulatory Authority (FINRA) for 20 business days, according to publicly available FINRA records. [read post]
6 Nov 2009, 12:53 pm
The Financial Industry Regulatory Authority fined Scottrade $600,000 for failing to have adequate anti-money laundering procedures in place to detect and report suspicious transactions. [read post]
14 Sep 2010, 12:02 pm
It just came over the wire – Well known investment bank Rodman & Renshaw announced that it has signed a letter of intent with the Financial Industry Regulatory Authority (FINRA) to buy the assets of the OTC Bulletin Board. [read post]
22 Jan 2018, 6:58 am
PlanMember recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). [read post]
11 Mar 2022, 12:50 pm
In Focus Reports submitted to the US Securities and Exchange Commission (SEC) in February 2022, four brokerage firms from the Advisor Group network disclosed that they were respondents in 58 Financial Industry Regulatory Authority (FINRA) arbitration cases. [read post]
19 Jun 2012, 12:18 pm
The Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority's (FINRA) Rule 5123 on June 7, 2012. [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
21 Mar 2016, 12:52 pm
Former New York broker, Edward Beyn, has been accused by the Financial Industry Regulatory Authority (FINRA) of churning. [read post]
22 Apr 2009, 9:51 am
The Financial Industry Regulatory Authority announced that it has fined Fifth Third Securities $1.75 million for a series of violations related to variable annuity sales and exchanges. [read post]
