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16 May 2023, 9:18 am
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
24 May 2023, 7:02 am
The post DMK Advisor Group, Inc. [read post]
29 Sep 2011, 4:09 am
The Supreme Court of Ohio ruled today that County Risk Sharing Authority Inc. [read post]
7 May 2012, 6:28 am
The BCG study, which we have discussed in a previous blog, was sponsored by the Financial Planning Coalition, comprised of the Certified Financial Planner Board of Standards Inc., the Financial Planning Association and the National Association of Personal Financial Advisers. [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
18 Jun 2019, 7:58 am
Loomer is a self-proclaimed “conservative investigative journalist and political activist. [read post]
6 Mar 2013, 6:49 am
©2013 Amaxx Risk Solutions, Inc. [read post]
3 May 2021, 9:05 pm
Consider the $300 million in fees Chinese e-commerce behemoth Alibaba paid its underwriters—Citigroup, Inc., Credit Suisse Group AG, Deutsche Bank, Goldman Sachs Group, Inc. and JPMorgan Chase Co. [read post]
8 Jan 2018, 3:37 am
Announces Second Quarter 2017 Financial Results, (Aug 4, 2017), https://www.prnewswire.com/news-releases/w-p-carey-inc-announces-second-quarter-2017-financial-results-300499675.html. [12]PR Newswire, W. [read post]
1 Jun 2020, 9:57 am
Bryon Martinsen (Bryon Edwin Martinsen) (CRD# 1621649) is a currently-registered broker and investment advisor employed with Centaurus Financial, Inc. [read post]
11 Jun 2023, 12:01 pm
The Financial Industry Regulatory Authority Inc. removed the $310,000 ceiling on the recommended highest range for penalties for midsize and large firms, according to a regulatory notice released Thursday. [read post]
11 Jun 2023, 3:26 pm
The Financial Industry Regulatory Authority Inc. announced last week that it has kicked off a machine-readable rulebook initiative. [read post]
19 Oct 2011, 7:00 am
In A Comparison of Self-Funded and Insured Health and Welfare Plans, health benefits expert witnessMark Johnson, J.D., Ph.D., ERISA Benefits Consulting, Inc., writes: Under state law, insurance companies are regulated and are subject to rules governing benefits, network adequacy, prompt payment of claims, etc. [read post]
19 Oct 2018, 2:25 pm
FINRA barred financial advisor Dawn Bennet, from Chevy Chase, Maryland was reportedly convicted for misappropriating client funds in a multimillion-dollar Ponzi Scheme that targeted elderly and financially unsophisticated investors. [read post]
4 Aug 2023, 6:17 am
It is common in that attorneys are often disbarred (or suspended) for financial wrongs, very often escrow issues where the “escrowed” monies are used by the attorney. [read post]
7 Sep 2023, 10:25 am
FINRA Arbitration and Mediation The Financial Industry Regulatory Authority, known as FINRA, is the self-regulatory body responsible for overseeing financial advisors and broker dealers. [read post]
24 Jan 2023, 3:32 pm
Can Subpoena VDARE's Records Related to Alleged Financial Self-Dealing by Nonprofit Directors appeared first on Reason.com. [read post]
24 Jan 2015, 5:29 am
Financial Industry Regulatory Authority, Inc. [read post]
24 Nov 2009, 12:59 pm
A non-GAAP financial measure does not include financial measures required to be disclosed by GAAP, by SEC rules, or a system of regulation of a government or governmental authority or self-regulatory organization that is applicable to the registrant, and in the case of foreign private issuers, refers to the accounting principles pursuant to which their primary financial statements are prepared. [read post]
24 Nov 2009, 12:59 pm
A non-GAAP financial measure does not include financial measures required to be disclosed by GAAP, by SEC rules, or a system of regulation of a government or governmental authority or self-regulatory organization that is applicable to the registrant, and in the case of foreign private issuers, refers to the accounting principles pursuant to which their primary financial statements are prepared. [read post]
