Search for: "Financial Industry Regulatory Authority"
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16 Jan 2018, 3:22 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, Claimant Odeon Capital Group asserted breaches of express written contract, fiduciary duty and the covenant of good faith and fair dealing; action for an accounting; constructive trust; unjust enrichment/ disgorgement; specific performance; tortious... [read post]
15 Jan 2018, 6:00 am
Following a hearing, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel denied each of Craig’s claims. [read post]
14 Jan 2018, 5:14 pm
These other agencies potentially could include, among others, the Federal Energy Regulatory Commission, the Environmental Protection Agency, the Federal Deposit Insurance Agency, and the Consumer Financial Protection Bureau. [read post]
12 Jan 2018, 9:55 am
Each of these factors increases the number of parties that have access – authorized or otherwise – to hotel data, and increase the number of threats to the industry. [read post]
12 Jan 2018, 7:44 am
Boggs Allegedly Engaged in Excessive & Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), Larry M. [read post]
12 Jan 2018, 6:00 am
” Officials have noted the critical role these professionals play in shaping the culture of financial institutions, as well as the industry more generally. [read post]
12 Jan 2018, 3:50 am
In one recent example, the Financial Industry Regulatory Authority (FINRA) barred a New York-based investment broker after concluding that he was responsible for causing an elderly widow to lose more than $175,000 over a three-year period while collecting over $200,000 in trading commissions. [read post]
10 Jan 2018, 11:01 am
The three-person, Financial Industry Regulatory Authority (FINRA) arbitration panel also decided to permanently enjoin and restrain Grimes from making any false and disparaging comments, written or verbal, of any kind regarding Sexton and his family, after Sexton claimed that Grimes, his former partner, along with Morgan Stanley, “interfered with his business and economic relations, libeled him, intentionally inflicted emotional distress on him and his… [read post]
10 Jan 2018, 7:13 am
This would promote greater financial transparency in the marijuana industry and mitigate the dangers associated with conducting an all-cash business. [read post]
10 Jan 2018, 7:02 am
Blair said the primary threat now is that China seeks to penetrate U.S. sources, such as the defense industry. [read post]
9 Jan 2018, 3:45 pm
Schroeder, the Executive Vice President and Head of Enforcement at the Financial Industry Regulatory Authority, recently discussed FINRA’s Enforcement Department’s day-to-day activities and goals at an event sponsored by the Securities Industry and Financial Markets Association (“SIFMA”). [read post]
9 Jan 2018, 12:24 pm
FBI Director Christopher Wray spoke on Jan. 9 to the International Conference on Cyber Security. [read post]
9 Jan 2018, 10:52 am
If it does not, it can be held liable for losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
9 Jan 2018, 10:51 am
The Financial Industry Regulatory Authority (FINRA) found Barber and Madison Avenue liable for churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. [read post]
9 Jan 2018, 10:46 am
FINRA Sanctions Meyers Associates again for Supervisory Issues According to The Financial Industry Regulatory Authority Inc., the regulator has fined Meyers Associates $700,000 and barred its principal from serving as a principal of a firm or as a supervisor. [read post]
9 Jan 2018, 7:54 am
FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an all-public FINRA arbitration panel has awarded a California investor the entire amount of her churning claim. [read post]
8 Jan 2018, 8:14 am
Regulatory authorities such as the SEC and FINRA have steadily heightened the supervisory obligations of brokerage firms in recent years. [read post]
8 Jan 2018, 8:13 am
According to a BrokerCheck provided by The Financial Industry Regulatory Authority (FINRA), the primary regulator for securities broker dealers, many of the complaints concern alternative investments. [read post]
8 Jan 2018, 3:13 am
For those who say that you can't beat your former employer, consider today's featured FINRA intra-industry arbitration.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015 and as amended thereafter, Claimant Hunnewell asserted violation of Rule 2010; wrongful termination; defamation; unjust enrichment; breach of fiduciary duty; and discrimination based on age in… [read post]
8 Jan 2018, 3:12 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FIN... [read post]
