Search for: "Financial Industry Regulatory Authority"
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25 Jan 2019, 9:48 am
Just this month, Merrill Lynch (BAC) was ordered by the Financial Industry Regulatory Authority (FINRA) to pay $300K for inadequately supervising the broker who defrauded ex-NFL player Dwight Freeney of a few million dollars. [read post]
23 Jul 2021, 9:03 pm
Anker-Sørensen and Zetzsche argue that innovation should be encouraged but also carefully regulated, such as through regulatory sandboxes and other smart regulation tools in the fintech industry. [read post]
6 Feb 2019, 2:17 pm
FINRA Panel Orders Capital Securities to Pay Retired Teachers $2.38M A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded retired schoolteachers Beryl Lakin and Janice Patin $2.38M for losses they sustained while they were clients of Capitol Securities Management, which is based in Virginia. [read post]
28 Aug 2019, 7:51 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
15 Apr 2024, 10:00 pm
Practitioners can explore blockchain and regulatory considerations to aid in advising banks, financial intermediaries, and financial technology startups on distributed ledger technology. [read post]
12 Jun 2023, 10:30 pm
Check out the new Practical Guidance Author Center ! [read post]
28 Sep 2017, 9:30 pm
The Financial Industry Regulatory Authority (FINRA) issued Morgan Stanley $13 million in fines and restitution to affected customers for “failing to supervise its representatives’ short-term trades” of portfolios of securities with specific maturity dates. [read post]
26 Sep 2016, 5:00 am
By Amy Leisinger, J.D.The Investment Company Institute and SIFMA’s Asset Management Group have filed comments in response to the Financial Stability Board’s proposed recommendations regarding vulnerabilities in the asset management industry. [read post]
30 Nov 2021, 2:05 pm
Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
8 Mar 2022, 8:18 am
When an investor can’t work things out with their registered representative, the next step is frequently arbitration with the Financial Industry Regulatory Authority, or FINRA. [read post]
31 Jul 2022, 9:09 pm
Department of Treasury’s Office of Financial Research, for instance, could serve as a hub of interdisciplinary expertise for financial regulatory agencies. [read post]
3 May 2021, 2:53 pm
Equity for Rep’s alleged Unsuitable VA Sales According to public records posted on FINRA’s site this week, the Financial Industry Regulatory Authority has censured and fined O. [read post]
10 Sep 2009, 12:32 pm
A Nevada based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a Nevada couple as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
22 Nov 2019, 11:25 am
The Financial Industry Regulatory Authority’s sanctions are in connection to NYLife’s alleged “failure to supervise sales of higher-risk mutual funds. [read post]
20 Jan 2012, 11:26 am
According to a recent article from Reuters, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled in favor of an investor who invested in Auction Rate Securities with Oppenheimer & Co. before that market failed in 2008. [read post]
9 Nov 2021, 5:48 pm
On November 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Aegis Capital Corp. [read post]
15 Feb 2013, 2:09 pm
No one knows for sure when rates will begin to rise, but the Financial Industry Regulatory Authority must be worrying that the day isn’t far off. [read post]
6 Jul 2018, 11:46 am
All Financial Industry Regulation Authority (FINRA) member firms have the duty to supervise their brokers. [read post]
14 Sep 2021, 6:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Meadows’s customer complaints alleges that Meadows recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts, including churning customer accounts. [read post]
