Search for: "Financial Industry Regulatory Authority"
Results 401 - 420
of 11,170
Sorted by Relevance
|
Sort by Date
4 Sep 2012, 1:25 pm
The Financial Industry Regulatory Authority said its vice chairman, Stephen Luparello, was leaving to join the law firm Wilmer Hale in Washington. [read post]
1 Jul 2011, 7:54 am
Ketchum, chairman of the Financial Industry Regulatory Authority, earned $2.6 million in 2010, including a $1.2 million bonus, according to a new filing. [read post]
1 Dec 2011, 4:00 pm
The Financial Industry Regulatory Authority has quietly built a fledgling fraud task force that has entered the front lines to fight insider trading. [read post]
1 Mar 2012, 3:44 am
In a Financial Industry Regulatory Authority (? [read post]
7 Sep 2011, 9:21 am
Sallie Krawcheck won a spot on the board of the Financial Industry Regulatory Authority in August. [read post]
24 Jan 2013, 3:10 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claimfiled in August 2011, Claimant Ameriprise sought t... [read post]
7 Oct 2011, 1:39 pm
Krawcheck has given up her seat on the board of the Financial Industry Regulatory Authority. [read post]
4 Feb 2017, 8:27 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Siegel (Siegel) formerly associated with National Securities Corporation – d/b/a HudsonPoint Capital – alleging Siegel engaged in a number of securities law violations including that the broker made unsuitable investments, unauthorized trading, and churning (excessive trading) among other claims. [read post]
23 Sep 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Rappa, formerly registered with Foresters Equity Services, Inc. [read post]
19 Sep 2011, 8:14 am
FINRA, the Financial Industry Regulatory Authority, is the watchdog agency for the financial brokerage industry. [read post]
9 Sep 2020, 7:24 am
Murphy (a/k/a Dennis James Murphy) (CRD# 4840274), a previously-registered broker, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to appear for testimony in connection with a FINRA investigation concerning his employer’s supervision of potentially unsuitable trading. [read post]
15 Mar 2012, 9:22 am
In a Financial Industry Regulatory Authority (? [read post]
7 Aug 2022, 7:00 am
Claimants also name former LPL Financial brokers Edward Miller and Antonio Reyna Two investors were awarded $2.57m in their Financial Industry Regulatory Authority (FINRA) arbitration case against LPL Financial and Financial Resources Group. [read post]
31 Jan 2022, 6:59 am
Earlier this month the National Society of Compliance Professionals, a nonprofit membership organization that supports compliance personnel and programs in the financial services industry, published a report entitled “Firm and CCO Liability Framework. [read post]
11 Jun 2023, 4:17 pm
The Financial Industry Regulatory Authority Inc., a private organization empowered by Congress to regulate the securities industry, is structured and operated in a way that violates the US Constitution, two brokerage firms allege in a suit.FINRA “wields massive power and governmental authority over the securities broker-dealer industry and the financial markets,” Scottsdale Capital [...] [read post]
2 Sep 2022, 6:54 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Melilli’s customer complaints allege that Melilli engaged in unauthorized trading and recommended unsuitable investments. [read post]
8 Sep 2019, 7:51 am
(UBS) out of Winter Haven, Florida was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
28 Oct 2011, 3:07 pm
The Financial Industry Regulatory Authority (FINRA) does, according to the Securities and Exchange Commission. [read post]
11 May 2020, 8:45 pm
This is so the financial services industry and other stakeholders can understand – and plan for – the timing of those regulatory initiatives that may have a significant operational impact on them. [read post]
5 Jun 2010, 8:57 am
On May 28, the Iowa-based company filed notice with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) of its intent to withdraw as a broker/dealer. [read post]
