Search for: "Financial Industry Regulatory Authority"
Results 6301 - 6320
of 11,236
Sort by Relevance
|
Sort by Date
9 Nov 2016, 2:08 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Marc Kalter (Kalter). [read post]
8 Nov 2016, 11:53 pm
Antitrust enforcement authorities reportedly have been investigating the generic drug industry for at least two years, but last week, there were several news reports that the authorities are nearing filing criminal charges for price-collusion in the generic-drug industry, with charges expected to be filed before year end. [read post]
8 Nov 2016, 11:24 am
We are only now beginning to see clear regulatory movement towards laws of this nature in the region. [read post]
8 Nov 2016, 8:33 am
” Article 29 similarly provides that “relevant industry organizations will establish sound cybersecurity standards and mechanisms for collaboration. [read post]
7 Nov 2016, 9:31 am
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
7 Nov 2016, 7:14 am
One of the things I like about his summary is that he really drives home the extent to which the court found that the Department acted within its regulatory authority and power. [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 Nov 2016, 3:35 am
What you see is what you get is very true when it comes to reading regulatory settlements by Wall Street's self-regulatory organization the Financial Industry Regulatory Authority. [read post]
4 Nov 2016, 1:51 pm
FINRA, or the Financial Industry Regulatory Authority, is taking steps to allow their members more maneuverability that’s meant to protect their clients in response to this problem. [read post]
4 Nov 2016, 11:24 am
The Financial Industry Regulatory Authority Inc. [read post]
4 Nov 2016, 8:54 am
Even though U.S. brokers are overseen by an industry self-regulator, the Financial Industry Regulatory Authority (FINRA) there is a current trend in the securities industry for brokers who have been permanently or temporarily barred to transition to a new career as an investment advisor. [read post]
4 Nov 2016, 6:02 am
In the end, it's all really the customer's fault but that doesn't matter because we got rules, and those rule have to be followed.Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, tradeMONSTER (n/k/a Aperture, LLC d/b/a… [read post]
4 Nov 2016, 6:02 am
What is more troubling about today's featured case, however, is the manner in which the Financial Industry Regulatory Authority conducted the mandatory arbitration. [read post]
4 Nov 2016, 6:01 am
Claimant's career was ruined when securities firms refused to hire her, and her ability to support herself and her family was destroyed.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2015 and as amended thereafter, former Merrill Lynch registered representative Claimant Adeimy asserted breaches of the employment agreement, contract, equitable and just principles of trade,… [read post]
4 Nov 2016, 6:01 am
As a recent FINRA saga shows, something as innocuous as a trade error can start the process that ends with our undoing.2011 ArbitrationIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Stat... [read post]
3 Nov 2016, 2:13 pm
This article was originally posted on Stock Market Loss This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
3 Nov 2016, 7:20 am
The Financial Industry Regulatory Authority Inc. has fined eight firms a total of $6.2 million and ordered five of them to pay another $6.3 million in restitution for failing to supervise the sales of variable annuities products. [read post]
3 Nov 2016, 7:19 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
2 Nov 2016, 4:49 am
This article was originally posted on Stock Market Loss The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
1 Nov 2016, 9:16 am
” A week after the report’s release, Senator Elizabeth Warren referred to it in her questioning of Robert Ketchum, outgoing Chairman and CEO of the Financial Industry Regulatory Authority (“FINRA). [read post]
