Search for: "Financial Industry Regulatory Authority"
Results 4901 - 4920
of 11,230
Sorted by Relevance
|
Sort by Date
10 Oct 2019, 9:30 am
FINRA Award: Customer Complaint against Stifel Nicolaus for Alleged supervisory failures According to public records posted last week, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel Nicolaus to pay $1.5 million to three Baltimore, MD customers who alleged the firm failed to properly supervise a broker who sold them biotechnology and healthcare stocks. [read post]
15 Apr 2019, 12:37 pm
The Financial Industry Regulatory Authority Inc. fined H. [read post]
20 Mar 2015, 7:14 am
This post continues our firm’s investigation concerning the recent allegations brought by The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm World Equity Group, Inc. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
18 Jul 2008, 2:42 pm
First is the Financial Industry Regulatory Authority (FINRA); this is the organization that regulates brokerage firms and their employees. [read post]
30 Aug 2013, 10:12 am
Specifically, The White Law Group is investigating the liability that the FINRA broker-dealers that employed Dearman may have and whether victims may be able to recover their losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
18 Aug 2020, 1:20 pm
FINRA Sanctions TPEG Securities for Failure to Timely File PPMs According to the Financial Industry Regulatory Authority (FINRA)on June 4, the regulator issued a Letter of Acceptance Waiver and Consent (AWC) to TPEG Securities, LLC (CRD #146726, Southlake, Texas) in which the firm was reportedly censured and fined $25,000. [read post]
17 Jan 2008, 11:47 am
SMH Capital has agreed to pay $450,000 in fines to settle charges by the Financial Industry Regulatory Authority (FINRA) over the broker dealer's failure to have supervisory procedures and systems in place to handle its prime brokerage and soft dollar services to hedge funds. [read post]
17 Aug 2022, 6:56 am
FINRA Sanctions Axiom for Allegedly Ignoring Red Flags with Private Placement Offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
9 Dec 2011, 8:44 am
., has been sanctioned by the Financial Industry Regulatory Authority, or FINRA, for engaging in churning and unsuitable trading in the accounts of two customers. [read post]
11 Jul 2013, 6:00 am
Antonakes’ assertions that the CFPB’s data collection practices are the same as those of the bank regulatory agencies. [read post]
23 Jan 2013, 6:33 pm
Registration fees are $150.00 for federal government employees and $495.00 for representatives from the financial services industry and self regulatory organizations. [read post]
28 Sep 2023, 10:03 am
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
10 May 2010, 5:10 am
NYSE Euronext (NYX) and the Financial Industry Regulatory Authority May 4 announced that by the end of June, FINRA will take over New York Stock Exchange Regulation’s market surveillance and oversight functions. [read post]
5 Feb 2024, 10:00 pm
Bank M&A Transactions Checklist Utilize this checklist outlining key regulatory due diligence considerations specific to M&A transactions in the banking industry. [read post]
16 Oct 2019, 10:38 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
26 Oct 2011, 11:20 am
So what does the Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers, do when a broker fails in his or her duties to protect your investment, in this stressful economic time? [read post]
30 Jan 2009, 12:40 am
At its inaugural annual meeting on 15 January 2009, the Bermuda Monetary Authority (BMA) published its Business Plan for 2009 (the Plan). [read post]
30 Dec 2015, 8:34 am
Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 20130363873) which resulted in a permanent bar form the securities industry. [read post]
