Search for: "Financial Industry Regulatory Authority"
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15 Feb 2018, 10:03 am
Critical to our efforts is the regulatory framework and enforcement authorities we have in place that govern the use of virtual currency. [read post]
15 Feb 2018, 8:43 am
The Financial Industry Regulatory Authority Dispute Resolution 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 Feb 2018, 3:00 am
” Here’s an excerpt from a recent American Accounting Association press release on the article: With regulatory reform a high priority for the Trump administration, a new study focuses on one possible target – and it’s a fat one – the half-century-old SEC rule mandating the filing of quarterly financial reports by public companies. [read post]
15 Feb 2018, 2:11 am
There is a question as to whether he should have sued for more.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 20... [read post]
14 Feb 2018, 9:02 am
A number of investors have recently filed arbitration claims with the Financial Industry Regulatory Authority (“FINRA”) against broker Austin Richard Dutton, Jr. [read post]
14 Feb 2018, 4:01 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
14 Feb 2018, 3:00 am
If you’re a solo practitioner, this list expands with numerous small business owner-specific items. 6 – Checkered Past The Financial Industry Regulatory Authority (FINRA), offers consumers a free tool to research advisors via its BrokerCheck website. [read post]
13 Feb 2018, 10:28 am
According to an article in Financial Advisor magazine, the Financial Industry Regulatory Authority (FINRA) is tightening the reins on brokers with pending arbitration awards. [read post]
13 Feb 2018, 8:00 am
What follows is NOT investment or financial advice and is merely for informational purposes only. [read post]
12 Feb 2018, 3:02 pm
I welcome guest post submissions from responsible authors on topics of interest for this site’s readers. [read post]
12 Feb 2018, 12:07 pm
PA Financial Advisor Austin Dutton – 4 Pending Customer Complaints According to an article in the Philadelphia Inquirer, three retired Philadelphia police officers and a firefighter have filed complaints with the Financial Industry Regulatory Authority (FINRA) against Newbridge Securities for unsuitable investments. [read post]
12 Feb 2018, 9:06 am
The case will proceed to arbitration with the Financial Industry Regulatory Authority (FINRA), possibly as early as next week. [read post]
12 Feb 2018, 8:23 am
The Financial Industry Regulatory Authority does provide for an arbitration forum for investors to resolve such disputes. [read post]
12 Feb 2018, 7:53 am
As we highlighted in a previous blog post, investors in FS Energy and Power Fund (“FSEP” or the “Fund”) may be able to recover losses on their investment in arbitration through arbitration before the Financial Industry Regulatory Authority (“FINRA”), if the recommendation to invest in FSEP was unsuitable, or if the broker or financial advisor who recommended the investment made a misleading sales presentation. [read post]
12 Feb 2018, 6:59 am
A broker must do his due diligence on every security he recommends or sell, and, if he does not, his brokerage firm may be held liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA). [read post]
12 Feb 2018, 5:00 am
Then, if the CRTC agreed, that quasi-judicial administrative agency could use its lawful authority to order ISPs to block the site. [read post]
12 Feb 2018, 3:22 am
30 Months Of Violations Under FINRA's Nose (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3827/FINRA-30-Months/ There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
12 Feb 2018, 3:21 am
There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
12 Feb 2018, 3:20 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2017, Claimant Oppenheimer & Co. asserted unjust enrichment in connection with monies purportedly owed to the firm by its former employee Respon... [read post]
11 Feb 2018, 9:30 pm
The rail industry supports making rate disputes less time consuming and expensive, but that must not include redefining revenue adequacy beyond a benchmark of financial health. [read post]
