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1 Sep 2012, 3:53 am
However, Lord Black has argued that his proposal is viewed as credible, and therefore likely to be effective, because it was formulated within the industry (Black 2012: para 8). [read post]
16 Jan 2017, 1:06 pm
This information comes from a recent Investor Alert from the Financial Industry Regulatory Authority. [read post]
16 Mar 2020, 8:45 am
For that reason, brokers are required to assess the suitability of such investment products on a customer by customer basis rather than suggesting them to all investors.The Financial Industry Regulatory Authority (FINRA) has cracked down on some firms about the risks associated with investing on non-tradition ETFs and has put out information on the its website. [read post]
9 Feb 2010, 11:20 am
Hedge Fund Industry Supports EU OTC Derivatives Legislation; Wants CCP Global CompetitionThe hedge fund industry generally supports the broad concepts for derivatives legislation set forth by the European Commission as the EU commits to the passage of legislation this year. [read post]
30 Oct 2023, 11:00 pm
Federal and state regulatory agencies are focused on the actions of financial institutions and financial technology companies (fintech), with an emphasis on data privacy. [read post]
15 Feb 2018, 10:29 am
FINRA issues investor alert on Margin Trading According to the Financial Industry Regulatory Authority (FINRA), investor purchases of securities “on margin” averaged more than $592 billion for the first eleven months of 2017. [read post]
11 Nov 2011, 10:03 am
., and its subsidiary Morgan Stanley Smith Barney LLC, have been fined $1 million and censured by the Financial Industry Regulatory Authority, or FINRA, for excessive markups and markdowns that were charged to customers on corporate and municipal bond transactions. [read post]
17 Aug 2020, 4:00 am
Martin of Glorieta, New Mexico submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized transaction in violation of NASD Rule 2510 and FINRA Rule 2010. [read post]
9 Jan 2020, 7:31 am
According to allegations in a recent Financial Industry Regulatory Authority Inc. [read post]
29 Sep 2015, 8:00 am
The DAA, a cross-industry, self-regulatory group of advertising and media companies, has until now focused its enforcement of the Principles exclusively on the desktop browser environment. [read post]
11 Feb 2013, 12:05 pm
The SEC announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9.The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA). [read post]
3 Apr 2018, 6:44 am
He was fired by Cambridge in August 2015 and the Financial Industry Regulatory Authority barred him from the industry in September of that same year. [read post]
7 Nov 2016, 5:01 am
The financial review link (“Shape of Things to Come … ” above) shows high net income for the insurance industry. [read post]
7 Feb 2024, 8:37 pm
Temporarily suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly unsuitably recommending speculative alternative investments, including limited partnerships, to two older investors, Diamond is a previously registered broker and investment adviser. [read post]
14 Jul 2014, 7:16 am
A Study of the Propriety & Legal Authority for the Justice Department’s Operation Choke Point. [read post]
20 Dec 2018, 10:33 am
Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
6 Jul 2016, 11:23 am
Sheridan has been employed and registered with Race Rock Capital, LLC, a broker-dealer, working out of the Boston, Massachusetts office, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2007, 9:25 am
The Wall Street Journal carried a story today about the Financial Service Authority, Britain's version of the SEC. [read post]
22 Mar 2012, 2:28 pm
Arthur Lin while he was registered with Financial Industry Regulatory Authority (FINRA) member firm LPL Financial may be able to recover their investment losses through the FINRA dispute resolution process. [read post]
7 Jan 2020, 2:17 pm
According to the Financial Industry Regulatory Authority, Cindy Chiellini currently has thirty (30) customer disputes on her broker record for similar allegations. [read post]
