Search for: "Financial Industry Regulatory Authority"
Results 5981 - 6000
of 11,234
Sort by Relevance
|
Sort by Date
25 Apr 2017, 12:03 pm
The Financial Industry Regulatory Authority (FINRA) also has issued guidelines to member firms. [read post]
25 Apr 2017, 11:48 am
FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. [read post]
25 Apr 2017, 10:49 am
The securities and investment fraud attorneys at Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Stanley Clayton Niekras (Niekras). [read post]
25 Apr 2017, 10:36 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Swan Sihua Shen (Shen) also known as Swan Sihua Zhang. [read post]
25 Apr 2017, 8:46 am
" If you read the decision slowly, you can almost hear the ka-ching, ka-ching, and ka-ching of the old litigation cash register as each of those conclusions were entered into the document.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, Claimant Mennemeyer asserted against her former employer PNC defamation, wrongful termination, unfair competition, and tortious interference… [read post]
25 Apr 2017, 7:14 am
The securities lawyers of Gana LLP are investigating customer complaints filed with Financial Industry Regulatory Authority (FINRA) against broker Tracy Rae Turner (Turner). [read post]
25 Apr 2017, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Edward Gackle was permanently barred in July 2016 from the securities industry for failing to appear for on-the-record testimony requested by FINRA during the course of an investigation. [read post]
25 Apr 2017, 5:00 am
Financial Industry Regulatory Authority, Inc., cert. denied April 24, 2017).Scottsdale Capital Advisors Corporation and three of its officers are the subjects of an ongoing disciplinary proceeding before FINRA. [read post]
24 Apr 2017, 5:08 pm
HIPAA compliance surveys reflect deficiencies with the BAA rules are common throughout the industry. [read post]
24 Apr 2017, 8:51 am
According to his BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA), Brown has been the subject of at least four customer complaints. [read post]
24 Apr 2017, 7:59 am
On April 10, 2017, the Financial Industry Regulatory Authority’s (“FINRA”) National Adjudicatory Council (“NAC”) updated FINRA’s Sanction Guidelines. [read post]
21 Apr 2017, 11:24 am
The investment lawyers of Gana LLP are investigating a pending customer complaint filed with the Financial Industry Regulatory Authority (FINRA) against Silvano Rolando Trino (Trino). [read post]
20 Apr 2017, 9:30 pm
Wells Fargo was fined $185 million in September after an investigation by the OCC and other authorities. [read post]
20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
20 Apr 2017, 10:17 am
Distilled even further, the dispute boils down to enough just not being enough.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Merrill Lynch employee Claimant Maile sought $1 in compensatory damages and an expungement of a “customer dispute occurrence” from his Central Registration Depository records (“CRD”). [read post]
20 Apr 2017, 9:03 am
The Financial Industry Regulatory Authority Inc. suspended Kluge last month for failure to provide information. [read post]
20 Apr 2017, 8:57 am
The FCA will continue to support and drive cultural change across the industry; financial crime and anti-money laundering (AML). [read post]
20 Apr 2017, 6:32 am
FINRA (Financial Industry Regulatory Authority) announced that the National Adjudicatory Council (NAC) revised guidelines regarding financial exploitation of vulnerable individuals or individuals with diminished capacity. [read post]
19 Apr 2017, 6:44 am
If you’d like to discuss how McGuireWoods might be able to assist you, reach out to the author, Alexandra Villarreal O’Rourke, co-lead of the firm’s FinTech Industry Group, at ao’rourke@mcguirewoods.com or 704-373-4632. [read post]
18 Apr 2017, 2:27 pm
Gana LLP’s securities fraud investigation has uncovered a complaint filed by the Financial Industry Regulatory Authority (FINRA) against broker Gerald O’Halloran (O’Halloran). [read post]
