Search for: "Financial Industry Regulatory Authority"
Results 5361 - 5380
of 11,233
Sort by Relevance
|
Sort by Date
6 Jan 2018, 12:26 pm
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a couple against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
6 Jan 2018, 12:06 pm
An Open Letter to the Financial Industry Regulatory Authority Board of Governors:Chairman and Public Governor: William H. [read post]
6 Jan 2018, 7:32 am
SWF money could prop up failing markets in the West,[5] but it could also be used to control Western apex corporations,[6] and thus indirectly threaten the authority of Western states—that was the essence of the fear at the time of the Great Recession of 2008.[7] And how to soothe this beast? [read post]
5 Jan 2018, 12:26 pm
Also the Financial Industry Regulatory Authority (FINRA) Rule 2020 also prohibits members from effecting “any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance. [read post]
5 Jan 2018, 12:26 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Lowther has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
5 Jan 2018, 5:35 am
In addition to the HIPAA consequences revealed in the December 28, 2017 resolution agreement announcement, it represents only a small fraction of the tidal wave of adverse business and financial consequences experienced by 21CO and its leadership following its March 4, 2016 public disclosure of the breach leading up to its May, 2016 bankruptcy filing. [read post]
4 Jan 2018, 9:46 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Kenneth Savino (Savino). [read post]
4 Jan 2018, 9:44 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Wilson has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
3 Jan 2018, 1:44 pm
In a recent Financial Industry Regulatory Authority (“FINRA”) arbitration proceeding, RBC Capital Markets and its broker Bruce Cameron were ordered to pay a former client $723,000 for losses sustained from investing in MLPs. [read post]
3 Jan 2018, 10:10 am
The Financial Industry Regulatory Authority (FINRA) once again has forced Citigroup to pay at least $11.5 million in fines and restitution due to claims that it displayed the wrong research ratings on more than 1,800 stocks. [read post]
2 Jan 2018, 5:08 pm
As of December 29, 2017, there were 143 federal court judicial vacancies, representing about 16% of the authorized federal judgeships. [read post]
2 Jan 2018, 6:59 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Clifford Vatter (Vatter) has received six customer complaints. [read post]
2 Jan 2018, 6:58 am
According to BrokerCheck records, Elaine LaCerte (LaCerte), also known as Elaine Diones and Elaine Diones Helzer, was suspended by the Financial Industry Regulatory Authority (FINRA) in August 2017. [read post]
2 Jan 2018, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. [read post]
1 Jan 2018, 9:30 pm
Although different regulatory authorities have different missions, everywhere they work to create, issue, and enforce regulations—that is, rules “backed up by consequences. [read post]
1 Jan 2018, 9:20 pm
” This series in The Regulatory Review includes nine essays authored by our writers and editors, each focused on a separate chapter in Achieving Regulatory Excellence. [read post]
1 Jan 2018, 5:54 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]
31 Dec 2017, 1:46 pm
Sign up for free email updates at http://cpaclick.com/4alerts (27) @DonnaLCPA – Donna Laubscher – Tax CPA, especially fond of Form 1040; avid outside-of-tax-season reader, live theater, baseball & football spectator; iced tea addict (hydrate in the desert) (28) @HowardGinsburg – CPA, Tax, Financial & Accounting Services. [read post]
29 Dec 2017, 12:31 pm
Citigroup Global Markets Reportedly displayed inaccurate research ratings According to the Financial Industry Regulatory Authority, the regulator fined Citigroup Global Markets Inc. $5.5 million on Thursday and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities. [read post]
29 Dec 2017, 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]
