Search for: "Financial Industry Regulatory Authority"
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19 Sep 2018, 3:49 pm
Ameritas can be held liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum because the firm did not reasonably supervise Mr. [read post]
21 Sep 2010, 5:05 am
Several months later, both the SEC and the Financial Industry Regulatory Authority (FINRA) issued a notice to investors on leveraged ETFs. [read post]
24 Sep 2010, 12:35 pm
According to an arbitration panel of the Financial Industry Regulatory Authority (FINRA), the claimant in the case, Viola McNeill, 79, had a $700,000 account in Fidelity’s Portfolio Advisory Services (PAS) fee-based management program. [read post]
18 Jul 2016, 1:49 pm
Nontraded REITs (Real Estate Investment Trusts) have long been an area of concern for securities regulators like the Financial Industry Regulatory Authority (FINRA) because they are generally illiquid investments that pay high upfront commissions to the brokers who sell them. [read post]
27 Dec 2017, 7:55 am
According to the Financial Industry Regulatory Authority (FINRA) website, BrokerCheck, there is no broker-dealer named Woodbridge Wealth. [read post]
24 Jun 2009, 11:53 am
Securities claims against stockbrokers are typically resolved through arbitration before the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jun 2011, 2:50 pm
He accused FINRA (the Financial Industry Regulatory Authority whose purpose is to protect investors under the auspices of the SEC), to the Nazis of World War II. [read post]
12 Nov 2010, 10:17 am
” Similarly, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both issued notices to investors about the risks associated with leveraged and inverse ETFs. [read post]
26 May 2020, 7:26 am
Our Texas investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are representing this investor in Financial Industry Regulatory Authority (FINRA) arbitration to recover these losses. [read post]
1 Jun 2021, 7:31 am
Our Energy 11 investment fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this retiree in her Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
24 May 2013, 6:44 am
However, rather than an altruistic gesture on Schwab’s part, removal of the class action waiver comes as the result of a complex set of events, whereby a FINRA (Financial Industry Regulatory Authority) panel decided to permit such waivers, but the decision was later opposed by the larger body of the FINRA itself. [read post]
26 Apr 2010, 2:35 am
According to the Financial Industry Regulatory Authority (FINRA), 2009 witnessed a significant increase in arbitration filings and complaints by mutual fund investors. [read post]
16 Aug 2010, 4:00 am
While the rules of some arbitration forums, such as the Financial Industry Regulatory Authority (FINRA), permit nationwide representation in arbitrations by lawyers licensed in any jurisdiction, or even non-lawyers, counsel are still subject to local prohibitions on unauthorized practice of law. [read post]
30 Mar 2010, 7:11 am
The Financial Industry Regulatory Authority (FINRA) and state insurance commissioners have repeatedly warned of the dangers of these complicated products and the possibility of sales abuses. [read post]
2 Jul 2014, 3:45 pm
Reportedly, the mistake happened while a Goldman Sachs contractor was testing internal changes made to Goldman Sachs' system to meet new requirements from the Financial Industry Regulatory Authority. [read post]
8 Mar 2011, 9:23 am
Rodman & Renshaw has signed a letter of intent to buy the OTCBB from its current owner, the Financial Industry Regulatory Authority (FINRA). [read post]
27 Oct 2015, 11:37 am
Carey Center for Dispute Resolution and the Financial Industry Regulatory Authority (FINRA). [read post]
24 Aug 2011, 8:51 am
And boy, am I ever glad I did: "Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies ... [read post]
14 Oct 2011, 12:00 pm
Financial Industry Regulatory Authority published proposed amendments to its rules that would require its members and associated persons that offer or sell private placements, as well as those that participate in the preparation of private placement memoranda, term sheets or other related disclosure documents in connection with a private placement, to provide disclosure to investors regarding the anticipated use of the offering proceeds prior to sale. [read post]
3 Jul 2018, 3:53 am
The main stakeholders to be consulted will include national authorities (including consumer protection bodies), credit providers, industry associations and consumer organisations. [read post]
