Search for: "Financial Industry Regulatory Authority"
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17 Dec 2010, 9:00 am
However, in the beginning of October 2008, Financial Industry Regulatory Authority or FINRA launched a two year pilot program that allowed the investors to choose a panel consisting of only public arbitrators. [read post]
24 Jul 2009, 7:13 am
This proposal is just one in a series of legislative drafts being sent to Congress as part of the Administration’s large scale financial regulatory reform efforts (previous proposals discussed here).The Office of National Insurance is designed to promote national coordination within the insurance sector, and would have the authority to perform the following functions: (1) Monitor all aspects of the insurance industry, including… [read post]
1 Feb 2015, 5:13 pm
Authors will be notified regarding whether their paper has been accepted for presentation at the conference by April 30, 2015. [read post]
6 Jul 2016, 9:49 am
FINRA Broker Disciplinary Action Report May 2016Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
11 Jan 2016, 8:55 am
She also co-authored an article for PIABA titled Protecting Clients with Diminished Capacity In The Securities Industry: It’s Tricky. [read post]
7 Apr 2015, 9:30 pm
In the UK, the Financial Conduct Agency (FCA), which regulates retail and wholesale financial service firms, introduced new rules last year to govern the burgeoning £1bn crowdfunding industry. [read post]
13 Mar 2011, 3:46 pm
In the face of such massive losses, Ameriprise's agreement to settle may have been prompted by a $1.2 million award a MedCap investor won against Ameriprise in an arbitration hearing before the Financial Industry Regulatory Authority ("FINRA"). [read post]
4 Aug 2014, 7:10 pm
The law offices of Gana LLP are investigating claims of churning and failure to supervise in wake of the allegations made by The Financial Industry Regulatory Authority (FINRA) concerning allegations that from September 2008, through May 2013, Newport Coast Securities, Inc. [read post]
30 Apr 2009, 1:10 pm
A recent Bloomberg News report has raised serious questions about (i) the independence and objectivity of the Financial Industry Regulatory Authority ("FINRA") and (ii) the closeness of relationships between brokerage firms and FINRA which is responsible for regulating brokerage firms. [read post]
28 Aug 2010, 3:29 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Raymond James & Associates, Inc. and one of its registered representatives to pay $925,000 to a Texas couple who purchased $1.4 million of municipal auction rate securities issued by Jefferson County, Alabama, according to August 26th articles in InvestmentNews by Bruce Kelly (“Raymond James pays more auction rate claims”) and in the Wall Street Journal by Suzanne… [read post]
13 Dec 2009, 7:22 am
. - The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $250,000 fine against J.P. [read post]
13 Mar 2014, 6:37 am
Recently, the Financial Industry Regulatory Authority (FINRA) imposed sanctions against Herman Mannings (Mannings), a JP Turner supervisor, concerning allegations that from February 2009, through October 2011, Mannings failed to reasonably supervise the activities of a registered representative to prevent unsuitable mutual fund switching. [read post]
14 May 2021, 8:31 am
The Financial Industry Regulatory Authority (FINRA) works alongside the U.S. [read post]
2 Sep 2013, 8:33 am
(ACGM), and Harold Kenneth Cohen (Cohen) of Palm Beach, Florida, reached a settlement the Financial Industry Regulatory Authority (FINRA) over the firm’s use of certain hedge fund sales material that allegedly failed to fairly present the risks and potential disadvantages of hedge fund investing. [read post]
1 Jul 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Gilford Securities, Inc. [read post]
26 Mar 2014, 6:13 am
The law offices of Gana LLP recently filed a complaint with the Financial Industry Regulatory Authority (FINRA) on behalf of a former NFL athlete alleging that the brokerage firm Resource Horizons Group LLC (Resource Horizons) failed to supervise Robert Gist (Gist), one of the firm’s associated persons. [read post]
2 Jun 2014, 6:23 am
The law offices of Gana LLP filed a complaint with the Financial Industry Regulatory Authority (FINRA) on behalf of four investors against First Allied Securities, Inc. [read post]
22 Aug 2014, 6:34 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Safeguard Securities, Inc. [read post]
6 Mar 2014, 5:46 am
This article continues the findings of The Financial Industry Regulatory Authority (FINRA) that led to sanctions against Royal Securities Company (Royal Securities) concerning allegations Royal lacked adequate supervision and controls in several areas. [read post]
16 Sep 2009, 7:43 am
A Los Angeles based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded market adjusted damages to a California resident as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
