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24 Jul 2009, 3:49 pm
Finra filed an Investor Alert warning investors and reminding brokers and RIA's that inverse ETF's that offer leverage are very complex and are typically unsuitable for any retail investor who intends on holding them beyond one day. [read post]
15 Jul 2013, 10:05 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
1 Aug 2008, 4:47 pm
FINRA is the financial industry’s self-regulatory arm. [read post]
7 Sep 2016, 11:48 am
FINRA records indicate that Mr. [read post]
7 Sep 2016, 11:48 am
FINRA records indicate that Mr. [read post]
12 Nov 2010, 4:34 am
FINRA's Updated Guidance on Same Day Clearance and Expedited Review of Shelf Offerings Last week, FINRA issued updated guidance on the same day clearance procedures for shelf offerings - as well as expedited review guidance for shelf offerings filed for regular review. [read post]
20 Jan 2015, 9:08 am
Investors may be able to pursue their claims in FINRA arbitration. [read post]
5 Mar 2012, 7:02 am
FINRA recently announced that Credit Suisse Securities was censured and fined $350,000. [read post]
5 Mar 2012, 7:02 am
FINRA recently announced that Credit Suisse Securities was censured and fined $350,000. [read post]
12 Dec 2017, 12:36 pm
FINRA said the firms failed to adequately notify and train their financial advisers about the lower-cost funds. [read post]
14 Aug 2007, 9:30 am
FINRA is requesting extensive materials and information on the early retirement seminars. [read post]
8 Feb 2010, 6:04 am
The fifth enforcement official, from FINRA's New York office, wasn't identified. [read post]
24 Dec 2008, 1:38 am
Related Web Resources: FINRA Provides Details on Special Arbitration Procedure for ARS Consequential Damages, MarketWatch, December 16, 2008 WaMu, First Southwest To Buy Back ARS Under Finra Settlements, CNN, December 16, 2008 Special Arbitration Procedures for Investors Involved in Auction Rate Securities Regulatory Settlements, FINRA FINRA [read post]
26 Mar 2011, 11:25 am
The broker-dealer wants to inspect FINRA’s records and books. [read post]
20 Sep 2016, 11:23 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
27 Apr 2016, 11:49 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
1 Dec 2016, 6:34 am
Between 2010 and mid-2013, FINRA found Merrill Lynch’s systems did not adequately enforce policies that govern how clients can use securities-backed loans. [read post]
5 Mar 2012, 7:28 am
As a result of a FINRA investigation, Park Avenue Securities LLC was recently censured and fined $175,000. [read post]
5 Mar 2012, 7:28 am
As a result of a FINRA investigation, Park Avenue Securities LLC was recently censured and fined $175,000. [read post]
15 Apr 2011, 11:46 am
Investors just won a $54.1 million award against Citigroup in a FINRA arbitration. [read post]
