Search for: "Financial Industry Regulatory Authority"
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14 Feb 2017, 2:34 pm
Maczko was employed and registered with Wells Fargo Advisors, LLC, a national broker-dealer out of the firm’s Oakbrook, Illinois, from February 2008 to September 2016, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Feb 2017, 11:50 am
FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized arbitration system for settling disputes between brokers and clients or among industry parties. [read post]
13 Feb 2017, 6:20 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). [read post]
13 Feb 2017, 6:20 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). [read post]
13 Feb 2017, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). [read post]
13 Feb 2017, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). [read post]
10 Feb 2017, 11:39 am
The creation of a commission had wide industry support but was controversial among congressional Democrats. https://tinyurl.com/jdtwuaz. [read post]
10 Feb 2017, 11:25 am
The unsettling thing about the outcome, however, is that you feel like you've attended a well-rehearsed but not particularly entertaining play; and, worse, that one of the key actors (the former employer) doesn't particularly want to be on stage and is sort of going through the motions.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in Septem... [read post]
10 Feb 2017, 8:28 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Spears (Spears) currently associated with IMS Securities, Inc. alleging negligence, failure to supervise, misrepresentation, breach of fiduciary duty among other claims. [read post]
10 Feb 2017, 8:28 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Spears (Spears) currently associated with IMS Securities, Inc. alleging negligence, failure to supervise, misrepresentation, breach of fiduciary duty among other claims. [read post]
9 Feb 2017, 11:54 am
PERSONAL MESSAGE FROM BrokeAndBroker.com Blog publisher Bill Singer: "Sharemaster Becomes The Beastmaster Of FINRA And SEC" (BrokeAndBroker.com Blog, February 17, 2017) presented the saga of FINRA member firm Sharemaster and its Sole Proprietor Howard Feigenbaum as they battled the ponderous and constipated bureaucracies of both the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
Sovereign Wealth Funds as Development Mechanisms--The Emerging Case of Turkey and its SWF-SOE Hybrid
9 Feb 2017, 7:23 am
Regulatory efforts will likely follow this conflation. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
9 Feb 2017, 4:18 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Jed Tinder (Tinder). [read post]
9 Feb 2017, 4:18 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Jed Tinder (Tinder). [read post]
8 Feb 2017, 2:00 pm
Cyber risk affects businesses of every size and industry. [read post]
8 Feb 2017, 2:00 pm
Cyber risk affects businesses of every size and industry. [read post]
8 Feb 2017, 12:02 pm
Let’s take a look at the U.S. inmate calling industry and its financial viability. [read post]
8 Feb 2017, 10:33 am
Those nominated to head the major financial services industry regulatory agencies will play an important role in working towards the goal laid out by the President. [read post]
