Search for: "National Association Of Securities Dealers, Inc."
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23 Jan 2014, 2:00 am
The Financial Industry Regulatory Authority (FINRA), the successor to the National Association of Securities Dealers, Inc. [read post]
9 Jan 2014, 7:51 am
Louis-based broker-dealers – Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. [read post]
13 Dec 2013, 5:40 am
When broker-dealers violate securities laws and regulations they can be liable for investment losses. [read post]
1 Oct 2013, 5:44 am
Regulation FD requires an issuer that discloses material nonpublic information to certain individuals (generally holders of the issuer’s securities and securities market professionals) to also make the information publicly available. [read post]
26 Sep 2013, 2:46 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
24 Sep 2013, 7:05 pm
to be kept” by a federally licensed firearm dealer under Section 924(a)(1)(A). [read post]
12 Sep 2013, 8:09 am
The primary costs associated with variable annuities are as follows: 1. [read post]
26 Aug 2013, 8:38 am
National Association of Securities Dealers, Inc., 159 F.3d 1209 (9th Cir. 1998), holding that while “Sparta’s complaint sought relief based upon violation of exchange rules[,]” plaintiffs here acknowledge that PICO complied with the act and instead only allege state law violations. [read post]
26 Aug 2013, 7:38 am
National Association of Securities Dealers, Inc., 159 F.3d 1209 (9th Cir. 1998), holding that while “Sparta’s complaint sought relief based upon violation of exchange rules[,]” plaintiffs here acknowledge that PICO complied with the act and instead only allege state law violations. [read post]
15 Aug 2013, 12:45 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Jul 2013, 7:00 am
In Galey we held an arbitration agreement incorporated the entirety of the National Association of Securities Dealers rules by reference where agreement provided for “arbitration in accordance with the rules then in effect of the National Association of Securities Dealers, Inc. [read post]
11 Jun 2013, 8:16 am
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
23 Apr 2013, 7:23 am
(“NYSE”) or . . . the National Association of Securities Dealers (“NASD”). [read post]
11 Apr 2013, 11:08 am
The SEC alleges in the Order that from at least December 2009 through March 2011, while associated with an investment adviser and broker-dealer registered with the SEC, Richard P. [read post]
3 Apr 2013, 12:47 pm
Essentially, though, FINRA Rule 2111 requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer’s investment profile. [read post]
1 Mar 2013, 3:12 pm
The circuit court found the arbitration agreement between the parties designated the National Association of Securities Dealers (NASD) as an exclusive arbitral forum, the NASD was unavailable to arbitrate because it no longer existed, and the court could not substitute the Financial Industry Regulatory Authority (FINRA) for NASD. [read post]
21 Feb 2013, 9:22 am
The White Law Group, LCC is a national securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Feb 2013, 9:01 pm
Minton sued—unsuccessfully—the National Association of Securities Dealers, Inc. [read post]
11 Feb 2013, 9:33 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
28 Jan 2013, 6:15 am
The North American Securities Administrators Association in 2009 included leveraged exchange-traded funds among its top 10 investor traps, while the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. at the same time issued alerts to investors warning about the risks of such funds. [read post]
