Search for: "Financial Industry Regulatory Authority"
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22 Jun 2018, 6:52 pm
The Financial Industry Regulatory Authority (FINRA) mandates brokers to recommend suitable investments for the customer. [read post]
22 Jun 2018, 3:10 pm
The indictment came following an investigation conducted by the Federal Bureau of Investigation (FBI) with assistance from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other agencies. [read post]
21 Jun 2018, 12:42 pm
SEC may seem like a case that only those in the financial industry, and certain individuals in the legal community, would take interest in. [read post]
21 Jun 2018, 6:56 am
While the Consumer Financial Protection Bureau (CFPB) has the authority to pass regulations on data sharing under Dodd-Frank, it has opted not to do so thus far. [read post]
21 Jun 2018, 6:55 am
FINRA Disciplinary Report: June 2018Every month and every quarter, securities industry watchdog, the Financial Industry Regulatory Authority (FINRA) releases its report of disciplinary actions against FINRA registered broker-dealers and brokers. [read post]
20 Jun 2018, 5:51 am
Maughan entered the securities industry in 1986 and has been registered with GMS Group since 2004. [read post]
19 Jun 2018, 10:21 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Steven Knuttila from the securities industry for reportedly failing to provide testimony in an investigation. [read post]
19 Jun 2018, 8:41 am
FINRA Bars Dennis Farrah for Allegedly Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Dennis Farrah from the securities industry. [read post]
18 Jun 2018, 8:39 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the tenth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
18 Jun 2018, 1:49 am
Paige Pierce For 2017 FINRA NAC Small Firm Member November 1, 2017As set forth on the Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
16 Jun 2018, 1:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Salerno has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks including master limited partnerships (MLPs). [read post]
16 Jun 2018, 5:42 am
The Best Way to Learn More About Your Stock BrokerWhat you may not know, however, is that there is a highly sophisticated system of record-keeping for financial industry professionals administered by the Financial Industry Regulatory Authority (FINRA), and those records are freely available to the public. [read post]
15 Jun 2018, 12:38 pm
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brad Lawing (Lawing). [read post]
15 Jun 2018, 12:04 pm
The ICI’s request pointed out that other regulatory and advocacy organizations, such as the Financial Industry Regulatory Authority and the North American Securities Administrators Association, have taken measures to help ensure that the financial institutions they regulate will be protected from enforcement action if they take reasonable steps to prevent financial exploitation of seniors and other vulnerable adults. [read post]
15 Jun 2018, 12:04 pm
The ICI’s request pointed out that other regulatory and advocacy organizations, such as the Financial Industry Regulatory Authority and the North American Securities Administrators Association, have taken measures to help ensure that the financial institutions they regulate will be protected from enforcement action if they take reasonable steps to prevent financial exploitation of seniors and other vulnerable adults. [read post]
15 Jun 2018, 6:00 am
Bureau of Industry and Security. [read post]
14 Jun 2018, 7:45 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
14 Jun 2018, 7:29 am
Censured & Fined According to the Financial Industry Regulatory Authority (FINRA), on June 12, 2018, Northeast Securities Inc. [read post]
13 Jun 2018, 10:16 am
The Financial Industry Regulatory Authority (FINRA) recently barred former MML Investors Services broker Brian Travers from the industry. [read post]
13 Jun 2018, 10:14 am
Federal securities laws and laws within the Financial Industry Regulatory Authority (FINRA) state that firms must monitor and supervise their employees in order to detect and prevent their brokers from offering investments in this way. [read post]
