Search for: "Financial Industry Regulatory Authority"
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9 Mar 2016, 12:11 pm
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 2015043159501) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kevin Murphy (Murphy). [read post]
9 Mar 2016, 12:01 pm
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 2013038770901) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Ricky Moore (Moore). [read post]
8 Mar 2016, 6:52 pm
The White Law Group filed the claim with the Financial Industry Regulatory Authority Inc., alleging common law fraud, negligence and breach of fiduciary, according to a statement released Monday. [read post]
8 Mar 2016, 1:08 pm
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
7 Mar 2016, 9:30 pm
Following the last financial crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which defines and limits the activities of certain financial firms. [read post]
7 Mar 2016, 12:07 pm
An Arizona broker, David Joseph Escarcega, has been expelled from the industry by the Financial Industry Regulatory Authority (FINRA) for making unsuitable investment recommendations to clients. [read post]
7 Mar 2016, 9:46 am
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 1013038289101) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Nixon (Nixon). [read post]
7 Mar 2016, 9:44 am
The securities fraud lawyers of Gana LLP are investigating the regulatory action filed (Disciplinary Action No. 2014043025701) by The Financial Industry Regulatory Authority’s (FINRA) against broker Carlos Benavidez Jr (Benavidez). [read post]
7 Mar 2016, 9:42 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Paul Blum (Blum). [read post]
7 Mar 2016, 2:46 am
Case In PointUnder consideration in today's BrokeAndBroker.com Blog are two Financial Industry Regulatory Authority ("FINRA") Arbitration Statements of Claims: Bruce Howard Tuchman and Michelle H. [read post]
4 Mar 2016, 2:57 pm
Winston Wade Turner, formerly a registered broker with MetLife and Pruco Securities, has been accused by the Financial Industry Regulatory Authority (FINRA) of deceptive sales practices involving variable annuities. [read post]
4 Mar 2016, 4:00 am
However, following UK Competition and Markets Authority scrutiny, certain assets were sold on to Bloomsbury Professional, which already owns Hart Publishing. [read post]
2 Mar 2016, 5:32 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2014,... [read post]
29 Feb 2016, 4:43 pm
Laborers District Council Construction Industry Pension Fund, 135 S.Ct. 1318 (2015). [read post]
29 Feb 2016, 6:43 am
Given these disturbing trends what is The Financial Industry Regulatory Authority’s (FINRA), the industry’s self-regulatory watchdog, doing to protect investors? [read post]
29 Feb 2016, 6:40 am
The securities fraud lawyers of Gana LLP are investigating the employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Patrick Sands (Sands). [read post]
27 Feb 2016, 12:31 pm
The investment attorneys of Gana LLP are investigating regulatory complaints filed by The Financial Industry Regulatory Authority’s (FINRA) against brokerage firm Finance 500, Inc. [read post]
27 Feb 2016, 12:15 pm
The book shows how customer disputes are litigated in the Financial Industry Regulatory Authority (FINRA) arbitration process. [read post]
26 Feb 2016, 10:38 am
On February 11, 2016, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (“SEC”) that would require individuals who “design, develop or significantly modify algorithmic trading strategies” (or “ATS”) as well as individuals responsible for the “day-to-day supervision or direction of the development process,” to pass a qualification exam… [read post]
26 Feb 2016, 9:07 am
Chief Compliance Officer Fined And Suspended For Failed Email ReviewToday's analysis of a Financial Industry Regulatory Authority starts off with a consideration of the shortcomings of a Chief Compliance Officer. [read post]
