Search for: "Financial Industry Regulatory Authority"
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12 Apr 2019, 6:29 am
FINRA, the Financial Industry Regulatory Authority, requires broker dealers to make suitable recommendations to their customers and to do due diligence into investments they recommend. [read post]
16 Nov 2018, 12:41 pm
FINRA Broker Disciplinary Action Report November 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
5 Feb 2018, 10:05 am
You may be able to bring a claim against IBN in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
23 Mar 2020, 7:28 am
FINRA ADMITS CORONA VIRUS MIGHT AFFECT OVERSIGHT OF TRADERSBrokerage firms all across the US are getting a break from their principal regulator as the spreading Covid-19 pandemic has been causing significant headaches across Wall Street.On Monday, The Financial Industry Regulatory Authority (FINRA) said that it would give firms greater flexibility in administering agents working remotely and in migrating staff to transitory areas. [read post]
3 Jul 2009, 7:28 am
The Financial Industry Regulatory Authority (FINRA) offers some sound advice when it comes to Promissory Notes. [read post]
22 Jun 2009, 10:20 am
The white paper suggests that eliminating thrifts is one of the most important steps in achieving a “prudent, efficient financial regulatory system. [read post]
20 Aug 2019, 3:29 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, the State of Massachusetts, and the New York Business Integrity Commission are investigating GPB Capital Holdings LLC (“GPB”) for financial misconduct. [read post]
6 Sep 2018, 7:53 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
15 Dec 2014, 9:26 am
Specifically, according to the Financial Industry Regulatory Authority (FINRA), Citigroup failed to deliver prospectuses to customers who bought shares in one or more of 160 exchange traded funds (ETFs) in late 2010. [read post]
14 Sep 2015, 5:34 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
5 May 2009, 2:39 pm
http://www.aboutlawsuits.com/securities-fraud-case-filings-up-this-year-3807/May 5th, 2009 According to the latest statistics released by the Financial Industry Regulatory Authority (FINRA), which regulates all securities firms throughout the United States, new securities fraud case filings were up 86% over the first three months of this year. [read post]
4 Oct 2015, 9:11 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ronald Benevento (Benevento) (FINRA No. 20130353695) alleging that between September 2011 through April 2013 Benevento engaged in unsuitable mutual fund switching activity in three customer accounts in violation of the FINRA Rules. [read post]
27 Feb 2015, 6:41 am
According to the records kept by the Financial Industry Regulatory Authority (FINRA) broker Wade Lawrence (Lawrence) has been suspended following the broker’s failure to comply with an arbitration award or settlement and by failing to comply with the regulator’s request for information concerning compliance. [read post]
21 Sep 2019, 1:31 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Ross Sinclaire has been accused by FINRA of failing to disclose material information to investors in relation to several offerings offerings. [read post]
14 Jul 2024, 9:05 pm
A Unanimous Court Sides with the NRA in Free Speech Case July 22, 2024 | Dru Stevenson, South Texas College of Law Houston The Court condemned regulator pressure to cut ties with the gun industry to mitigate financial risk. [read post]
12 Jun 2024, 1:41 pm
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority has barred former advisor Imdadur Rahman (CRD No. 2476187) also known as Gino Rahman from working in the securities industry on June 10, 2024. [read post]
21 Apr 2022, 9:01 pm
U.S. financial regulators have indicated that they are increasingly focused on incorporating climate risks into their regulatory and supervisory practices. [read post]
5 Aug 2021, 12:33 pm
FINRA is investigating Robinhood over its CEO, Vlad Tenev’s, failure to register as a broker with the Financial Industry Regulatory Authority, a self-regulatory organization responsible for overseeing the brokerage industry. [read post]
9 Feb 2018, 12:53 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Morgan Stanley registered broker Thomas Niles has broken securities laws and internal firm rules. [read post]
26 Apr 2018, 6:30 am
Publicly available records with the Financial Industry Regulatory Authority (FINRA), indicate that former Chicago-based Forest Securities broker Jeffrey Nimmow was terminated from the firm. [read post]
