Search for: "Financial Industry Regulatory Authority"
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2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
30 Sep 2016, 12:41 pm
Jerome Krause, a broker with First Heartland Capital Inc. must pay $600,000 in damages to an elderly couple after allegedly stealing money from them, according to the Financial Industry Regulatory Authority Inc. [read post]
30 Sep 2016, 6:11 am
In the words of the Financial Industry Regulatory Authority (“FINRA”), “Just as firms have a primary responsibility to supervise their associated persons and ensure that they are not involved in fraudulent schemes, firms must also be vigilant regarding their customers. [read post]
30 Sep 2016, 5:00 am
September 2016 FINRA Arbitration Decision In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, public customer Claimants Joyce and Keith Reuter alleged: unauthorized borrowing, unauthorized trading, civil theft by fraud under Wis. [read post]
29 Sep 2016, 9:30 pm
The proposal has faced opposition from the cable industry, and leading up to Thursday, when the proposal was expected to come to a vote, Commissioner Jessica Rosenworcel reportedly expressed concerns over whether the FCC had the authority to implement part of the plan and possible copyright violations. [read post]
29 Sep 2016, 12:59 pm
Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
28 Sep 2016, 9:41 am
The threats of private and structural power were not just substantive; they represented a usurpation of the proper role of citizens and communities as the agents and authors of a (nominally) democratic polity. [read post]
28 Sep 2016, 9:24 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]
28 Sep 2016, 8:27 am
The Financial Industry Regulatory Authority fined Merrill Lynch on behalf of the three largest U.S. exchange operators an additional $3 million for the infractions. [read post]
27 Sep 2016, 7:30 am
Coles Professor of law and of management at the School of Law, has been appointed to the board of the Financial Industry Regulatory Authority (FINRA). [read post]
27 Sep 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) announced on June 8, 2016 that it fined Oppenheimer & Co., Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to customers who were sold leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
26 Sep 2016, 4:24 pm
The privatisation and outsourcing of due diligence to an unregulated industry plainly comes with legal risk. [read post]
26 Sep 2016, 12:47 pm
The Financial Industry Regulatory Authority Inc. [read post]
26 Sep 2016, 7:23 am
The Financial Industry Regulatory Authority (FINRA) recently issued an alert to warn investors, particularly investors who live outside the U.S., that offers to recover money lost from securities investments may be fraudulent. [read post]
26 Sep 2016, 5:00 am
By Amy Leisinger, J.D.The Investment Company Institute and SIFMA’s Asset Management Group have filed comments in response to the Financial Stability Board’s proposed recommendations regarding vulnerabilities in the asset management industry. [read post]
23 Sep 2016, 10:50 am
Yesterday, San Antonio-based broker-dealer Investment Professionals Inc. has been censured and fined $170,000 by the Financial Industry Regulatory Authority, for more on the story, click here. [read post]
23 Sep 2016, 10:17 am
See how the BrokeAndBroker.com Blog puts its own ironic twist on this case.Case In PointAccording to a Financial Industry Regulatory Authority ("FINRA") Arbitration Stipulated Award, Claimant Wells Fargo Advisors filed a Statement of Claim in March 2016 asserting:: [B]reach of manager compensation summary dated August 5, 2014. [read post]
23 Sep 2016, 8:48 am
(IPI) has been censured and fined $170,000 by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Sep 2016, 6:03 am
It's fascinating what he uncovers.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2015, former Rice Financial Products Company registered representative Claimant Ellis asserted breach of contract against his former employer. [read post]
