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17 Oct 2023, 10:23 am
FINRA is the self-regulator who oversees brokers and brokerage firms. [read post]
17 Oct 2023, 7:25 am
FINRA is the Financial Industry Regulation Authority, responsible for overseeing the industry. [read post]
17 Oct 2023, 6:55 am
Investors Pursue FINRA Arbitration Claims for Unsuitable Investment Advice Investors were sold Northstar Bermuda by broker-dealers who described the investment as solid and stable. [read post]
17 Oct 2023, 2:39 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
16 Oct 2023, 10:34 am
One of the key principles that FINRA enforces is the prohibition of time and price discretion in customer accounts. [read post]
16 Oct 2023, 7:48 am
Data elements concerning securities available to loan and securities on loan would be provided to FINRA by the end of each business day, and FINRA would make this information public no later then the next business day.The initial thirty-day comment period ended on January 7, 2022, and comments were then reopened for another thirty-days until April 1, 2022. [read post]
16 Oct 2023, 7:08 am
The FINRA claim seeks damages in an amount between $1,000,000.01 and $1,500,000. [read post]
15 Oct 2023, 9:03 pm
Such information not currently made available by FINRA or the exchanges. [read post]
15 Oct 2023, 9:01 pm
The relevant listing exchange or FINRA publishes the data with a two-week lag. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
13 Oct 2023, 1:58 pm
Shivery not only has extensive experience with FCA qui tam cases, but she is also a former Senior Arbitration Administrator for the Financial Industry Regulatory Authority (FINRA) and spent time with the State of Hawaii Attorney General’s Office doing similar work. [read post]
13 Oct 2023, 10:48 am
FINRA, a national self-regulatory securities regulator, recently barred Mr. [read post]
10 Oct 2023, 3:53 pm
Recently, Finra fined broker Arni J. [read post]
9 Oct 2023, 3:31 pm
When the arbitrators asked FINRA for an explanation or relevant files, FINRA refused. [read post]
9 Oct 2023, 1:21 pm
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC CFTC FINRA FINRA Censures and Fines HSBC Securities (USA) for Inaccurate Research DisclosuresIn the Matter of HSBC Securities (USA) Inc., Respondent (FINRA AWC) FINRA Fines and S... [read post]
9 Oct 2023, 1:21 pm
In today's public customer FINRA arbitration, we have a failed second-bite of the same wormy Merrill Lynch apple. [read post]
9 Oct 2023, 1:21 pm
Case in Point In a FINRA Arbitration Statement of Claim filed in January 2023, public customer Claimant Arnot representing herself pro se asserted negligence. [read post]
9 Oct 2023, 1:21 pm
JOIN TODAY -- FREE MEMBERSHIP / Visit the MARKETPLACE for industry services by lawyers, recruiters, and consultants DOJ SEC SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community (SEC Release) SEC Division of Examinations Announces 2024 Priorities (SEC Release) CFTC FINRA Cybersecurity Aler... [read post]
9 Oct 2023, 1:21 pm
(“FINRA”). [read post]
