Search for: "Financial Industry Regulatory Authority"
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6 Nov 2017, 12:20 am
Anna Marhold (Tilburg University) reported on dispute resolution mechanisms and the role of the industry in European regulatory agencies for energy. [read post]
5 Nov 2017, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Wendel (Wendel), in September 2017, was terminated by his firm, SA Stone Wealth Management Inc. [read post]
5 Nov 2017, 7:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Smith has been accused by a customers of unsuitable investment advice concerning energy limited partnership investment among other claims. [read post]
5 Nov 2017, 7:32 am
The Financial Industry Regulatory Authority (FINRA) also barred Bahgat from the securities industry after he failed to respond to a request for information in January. [read post]
5 Nov 2017, 6:02 am
Much of the financial-industry criticism of the Second Circuit’s decision in Madden v. [read post]
5 Nov 2017, 6:02 am
Much of the financial-industry criticism of the Second Circuit’s decision in Madden v. [read post]
4 Nov 2017, 9:50 am
In May 2016, the Financial Industry Regulatory Authority (FINRA) suspended broker Frank Capuano who was registered with Royal Alliance Associates in Holyoke, MA. [read post]
3 Nov 2017, 2:40 pm
If you have invested in HMS Income Fund (“HMS”) upon the recommendation of your financial advisor, you may be able to recover your losses through arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
3 Nov 2017, 9:12 am
Financial Industry Regulatory Authority, November 1, 2017, Tjoflat, G.)FINRA proceedings. [read post]
3 Nov 2017, 7:42 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
2 Nov 2017, 9:30 pm
President Donald Trump signed into law a Congressional Review Act resolution disapproving of a Consumer Financial Protection Bureau (CFPB) rule that banned mandatory arbitration clauses in financial contracts. [read post]
2 Nov 2017, 1:59 pm
Yesterday, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded Malecki Law attorneys $397,823.00 for principal investment losses against Morgan Stanley & Co., LLC. [read post]
2 Nov 2017, 4:57 am
The European Banking Authority (EBA) published a Discussion Paper on its approach to financial technology (FinTech) on 4 August 2017. [read post]
1 Nov 2017, 10:34 pm
In addition, pursuant to the rules and regulations set forth by the Financial Industry Regulatory Authority (“FINRA”), the financial advisor, and by extension his or her firm, must seek to ensure that they conduct a suitability analysis in order to determine if the investment being recommended is suitable for the investor in light of certain factors, including the customer’s age, risk tolerance and stated objectives, net worth and… [read post]
1 Nov 2017, 7:54 pm
In June 2017, the Financial Industry Regulatory Authority (FINRA) announced that Financial West Investment Group of Westlake, California, submitted an acceptance, waiver and consent letter, or AWC, regarding its participation in private placement offerings without the use of an escrow account. [read post]
1 Nov 2017, 7:34 pm
In June 2017, the Financial Industry Regulatory Authority (FINRA) announced that Coastal Equities Inc. of Wilmington, Delaware, submitted an acceptance, waiver and consent letter, or AWC, regarding its failure to supervise firm sales of non-traditional ETFs, or exchange-traded funds. [read post]
1 Nov 2017, 10:21 am
The Financial Industry Regulatory Authority (FINRA) FINRA, which stands for the Financial Industry Regulatory Authority, is the largest self-regulating organization (SRO) for all securities firms doing business in the United States. [read post]
1 Nov 2017, 5:59 am
The investment lawyers of Gana LLP are investigating regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Christopher Stephen Jorgensen (Jorgensen). [read post]
30 Oct 2017, 10:36 am
Case In PointSome eight years ago, the Financial Industry Regulatory Authority ("FINRA") filed FINRA Department of Enforcement, Complainant, v. [read post]
30 Oct 2017, 8:12 am
As set forth on Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
