Search for: "Financial Industry Regulatory Authority"
Results 6801 - 6820
of 11,238
Sort by Relevance
|
Sort by Date
26 Feb 2016, 8:52 am
Today's analysis of a Financial Industry Regulatory Authority starts off with a consideration of the shortcomings of a Chief Compliance Officer. [read post]
26 Feb 2016, 6:00 am
Last Thursday, the Financial Industry Regulatory Authority (FINRA) sent letters to a dozen financial firms, inquiring about the methods by which the firms establish and maintain a culture of compliance. [read post]
25 Feb 2016, 10:45 am
It brings together in one place multiple content types, including rules from multiple agencies, statutes, news, a library of resources, calendar of agency hearings and industry events, and lawyer commentary on new rules and other regulatory developments. [read post]
25 Feb 2016, 5:34 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s bar of broker Eugene Smietana (Smietana). [read post]
25 Feb 2016, 5:32 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Allan Montalbano (Montalbano). [read post]
24 Feb 2016, 3:25 pm
FinCEN has long viewed real-estate as a risk industry for money laundering and regulates a variety of traditional financial institutions providing financial services to the industry. [read post]
24 Feb 2016, 2:18 pm
The Financial Industry Regulatory Authority (FINRA) has announced that it barred broker George E. [read post]
24 Feb 2016, 7:01 am
Regulatory pressure: About a quarter of the respondents expect to see asset sales in the financial services industry due to regulatory pressures. [read post]
23 Feb 2016, 4:38 am
The problem is that the wild beasts and acrobats are not acting with the greatest of ease and we, the audience, are overwhelmed and confused.Case In Point (Ring #1)In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2014, former registered representative Claimant Freeze alleged that his former employer Respondent LPL Financial had terminated him after he had purportedly b... [read post]
22 Feb 2016, 5:52 pm
If you invested with Evan Kochav and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call the firm’s Chicago office at 312-238-9650. [read post]
22 Feb 2016, 7:16 am
On February 18, 2016, Financial Industry Regulatory Authority (FINRA) announced that it had issued a targeted exam letter, or sweep, to firms seeking information about how firms establish, communicate and implement cultural values. [read post]
22 Feb 2016, 7:04 am
The investment attorneys of Gana LLP are investigating a regulatory complaint filed (Disciplinary Proceedings No. 2014038996201) by The Financial Industry Regulatory Authority’s (FINRA) against broker J. [read post]
22 Feb 2016, 6:00 am
Highlights include the following: The CFPB reported that it had received comments calling on it to adopt a policy for providing definitive regulatory guidance to industry such as interpretative letters and advisory opinions. [read post]
22 Feb 2016, 4:30 am
Understanding Beijing’s Approach to ICT and Cybersecurity Policy Currently, the Chinese government—not unlike US authorities—is in the process of developing a legal and regulatory regime to catch up with the growth of new technologies, particularly in the internet and information communications technology (ICT) sectors. [read post]
22 Feb 2016, 2:58 am
In a recent Financial Industry Regulatory Authority settlement with a registered representative, we have just such a case. [read post]
22 Feb 2016, 2:03 am
In a recent Financial Industry Regulatory Authority settlement with a registered representative, we have just such a case. [read post]
20 Feb 2016, 10:01 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Fenimore (Fenimore). [read post]
19 Feb 2016, 11:57 am
It has been a little over two years since the Supreme Court issued its decision in Bauman v. [read post]
19 Feb 2016, 3:59 am
In a recent regulatory settlement, the Financial Industry Regulatory Authority rewrote the verse to Here's what we're gonna give you for everything that you took. [read post]
18 Feb 2016, 5:51 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker William Carlton (Carlton). [read post]
