Search for: "Financial Industry Regulatory Authority"
Results 6821 - 6840
of 11,238
Sort by Relevance
|
Sort by Date
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 Indra Ramsahai (Ramsahai). [read post]
18 Feb 2016, 5:00 am
ESMA’s (European Securities and Markets Authority) follow-up analysis of the proxy advisory industry’s self-regulatory code of conduct, aka, Best Practice Principles for Providers of Shareholder Voting Research and Analysis, found that although the industry is “moving in the right direction,” the Best Practice Principles Group (composed of ISS, Glass Lewis, Manifest Information Services Ltd, PIRC Ltd, and Proxinvest) should focus… [read post]
17 Feb 2016, 6:54 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has barred two Buffalo, New York-based brokers from the securities industry for fraud in connection with the sale of a hedge fund, the Prestige Wealth Management Fund LP. [read post]
16 Feb 2016, 12:46 pm
When a product is sold to an investor, despite being unsuitable for that investor, the financial advisor’s firm may be liable to the investor in Financial Industry Regulatory Authority (FINRA) Arbitration or New York State Courts for those recommendations. [read post]
16 Feb 2016, 12:06 pm
On February 4, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) awarded Herbert M. [read post]
16 Feb 2016, 11:38 am
According to reports, the Financial Industry Regulatory Authority Inc. [read post]
16 Feb 2016, 9:30 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Kyle Harrington (Harrington). [read post]
16 Feb 2016, 6:00 am
For banks, the USA Patriot Act enacted another kind of recordkeeping rule called Know Your Customer, which helps identify money launderers, terrorist financiers, and foreign corrupt practices within the financial industry. [read post]
15 Feb 2016, 5:00 am
The Financial Industry Regulatory Authority (“FINRA”) recently filed its revised pay-to-play rules proposal with the Securities Exchange Commission (“SEC”). [read post]
14 Feb 2016, 1:32 pm
"as a matter of statutory construction, the definition of 'covered business method patent' is not limited to products and services of only the financial industry, or to patents owned by or directly affecting activities of financial institutions. [read post]
14 Feb 2016, 12:56 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Andrews (Andrews). [read post]
12 Feb 2016, 10:15 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 complaint against broker Eric Kuchel (Kuchel). [read post]
11 Feb 2016, 2:28 pm
In January 2016, the Financial Industry Regulatory Authority (FINRA) released its annual list of priorities, showing what sorts of sweeps they may perform, and investigations they may bring, in the coming year. [read post]
11 Feb 2016, 7:04 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Nancy Daoud (Daoud). [read post]
11 Feb 2016, 4:56 am
On Wall Street, however, you got Oral Discretion, which, as you will soon discover, isn't worth the paper it's not written on.Case In PointFor 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, Michael J. [read post]
10 Feb 2016, 6:10 pm
Three firms were ordered by the Financial Industry Regulatory Authority (FINRA) to pay more than $1 million in fines and restitution for failure to give certain clients discounts on large purchases of unit investment trusts, or UITs. [read post]
10 Feb 2016, 6:08 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. [read post]
9 Feb 2016, 9:09 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Daniel McPherson (McPherson). [read post]
9 Feb 2016, 9:08 am
The securities lawyers of Gana LLP are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Gopi Krishna Vungarala (Vungarala) and his brokerage firm Purshe Kaplan Sterling Investments (Purshe Kaplan). [read post]
8 Feb 2016, 10:08 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Stanley Keyes (Keyes). [read post]
