Search for: "Financial Industry Regulatory Authority"
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12 Oct 2017, 4:22 pm
The Secretary of Labor should also consider ways to promote AHP formation on the basis of common geography or industry. [read post]
12 Oct 2017, 3:25 pm
For example, with respect to a recent arbitration before the Financial Industry Regulatory Authority (“FINRA”), the arbitration panel ruled in favor of investors Troy and Elizabeth Benitone, awarding the claimants $569,000. [read post]
12 Oct 2017, 12:30 pm
FINRA is the Financial Industry Regulatory Authority. [read post]
12 Oct 2017, 11:54 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
12 Oct 2017, 7:15 am
In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of customer dispute information related to arbitration cases from a broker’s Central Registration Depository (CRD®) record. [read post]
11 Oct 2017, 10:29 am
The Financial Industry Regulatory Authority (FINRA) has filed two recent enforcement actions that may signal a crackdown on variable annuity (VA) misconduct this year, continuing a 2016 trend of high fines related to VA sales in 2016. [read post]
10 Oct 2017, 8:04 am
The Bill follows an independent review led by Carol Brady in 2016, which recommended that regulatory responsibility for claims management companies (CMCs) be transferred from the Ministry of Justice’s Claims Management Regulation Unit to the Financial Conduct Authority (FCA) in order to effect a “step change” in the sector’s regulation. [read post]
10 Oct 2017, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Clark Gardner (Gardner), in May 2014, was terminated by his then employer Cetera Advisors LLC (Cetera) subsequent to the initiation of customer arbitration claim alleging unsuitable investments. [read post]
10 Oct 2017, 7:41 am
Free Consultation The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
10 Oct 2017, 2:05 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
9 Oct 2017, 8:58 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
8 Oct 2017, 7:03 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Adam Veron (Veron), in February 2017, was terminated by his then employer Questar Capital Corporation (Questar). [read post]
7 Oct 2017, 11:32 am
According to BrokerCheck records, customers have filed about ten complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Regan Rohl (Rohl), a registered representative with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) out of the firm’s Fargo, North Dakota office location. [read post]
6 Oct 2017, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor James Lyons (Lyons), has been subject to five customer complaints and one employment terminations for cause. [read post]
6 Oct 2017, 9:14 am
In January 2017, the Financial Industry Regulatory Authority (“FINRA”), as part of its ongoing efforts to ensure the integrity of financial markets and offer protection to investors, issued certain guidance through its ‘2017 Regulatory and Examination Priorities Letter. [read post]
6 Oct 2017, 6:00 am
These results have several policy implications on how regulatory agencies can maximize the value of their enforcements. [read post]
5 Oct 2017, 7:05 pm
The circular states that the establishment or activities of these firms should increase the range and quality of products and services for investors and benefit the Hong Kong financial services industry. [read post]
4 Oct 2017, 11:08 am
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
4 Oct 2017, 8:46 am
Investors in American Finance Trust and Lightstone Value Plus REIT V may have viable arbitration claims before the Financial Industry Regulatory Authority (FINRA) if a stockbroker or investment advisor made an unsuitable recommendation to the investor to purchase them, or made a misleading sales presentation in recommending them. [read post]
4 Oct 2017, 8:07 am
This is a test for RRBD Daily PostsFINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
