Search for: "Financial Industry Regulatory Authority"
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28 Feb 2024, 9:05 pm
About the author: Darin Detwiler is a food safety academic, advisor, advocate, and author. [read post]
23 Jul 2018, 10:18 am
According to his online records with the Financial Industry Regulatory Authority (FINRA,) Corbman has been permanently barred from the securities industry. [read post]
25 Mar 2021, 7:07 am
The Financial Industry Regulatory Authority (FINRA), barred Boggs in January in 2019 after he reportedly failed to answer requests for information in FINRA’s investigation. [read post]
6 May 2014, 7:01 am
The Financial Industry Regulatory Authority (FINRA) issued a Alert warning that in many cases free-meal investment seminars are not solely about education. [read post]
21 Jul 2019, 5:34 am
According to publicly available records, the Financial Industry Regulatory Authority (FINRA) suspended Flaningan after he was reportedly terminated from his member firm for allegations “he was involved in the solicitation of New York Life clients to invest in an unregistered entity named Woodbridge Mortgage Investment Fund, which has filed for bankruptcy protection and is the subject of an action filed by the SEC. [read post]
23 Feb 2017, 8:17 am
In addition to restitution, the Financial Industry Regulatory Authority Inc. fined Purshe Kaplan Sterling Investments for its failures to supervise the sales of these securities. [read post]
29 Sep 2015, 2:47 pm
In addition, UBS PR settled similar charges with the Financial Industry Regulatory Authority (FINRA) and Agreed to pay $7.5 million fine and interest on up to $11 million in restitution to investors in the closed end mutual funds. [read post]
5 Feb 2020, 7:52 am
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has reportedly barred Evan on January 22, 2020 after he purportedly refused to provide information for FINRA’s investigation into his alleged termination from his member firm. [read post]
6 Aug 2020, 9:08 am
According to the Financial Industry Regulatory Authority (FINRA)on June 5, 2020, “the state of New Hampshire is conducting an investigation into certain trading practices of Mr. [read post]
29 Jan 2010, 12:23 pm
Meanwhile, regulators from the Financial Industry Regulatory Authority Inc. [read post]
6 Oct 2021, 5:27 am
Gensler also mentioned that some ETPs have features that can amplify an investor’s gains or losses by significant multiples.For example, a basic explainer available on the website of the Financial Industry Regulatory Authority Inc. describes the several types of leveraged ETPs. [read post]
22 Nov 2006, 7:26 am
The report notes that corporate ownership in Turkey tends to be concentrated in family-controlled, financial-industrial company groups. [read post]
10 Dec 2020, 8:56 am
Is it a banner, heralding a revolution that will transform the financial sector and other industries? [read post]
12 Sep 2019, 6:50 am
Key differences between the Bureau’s proposal and the CAS Policy include: The proposal provided that an approved sandbox applicant would receive relief consisting of (1) approvals, as applicable, under the provisions of the TILA, ECOA, and EFTA that provide a safe harbor from liability under such laws in federal or state enforcement actions and private lawsuits for actions taken or omitted in good faith in conformity with Bureau approvals, and (2) exemptions granted by Bureau order (i)… [read post]
24 Jan 2012, 10:49 am
Further, The White Law Group has represented numerous investors in Financial Industry Regulatory Authority (FINRA) arbitration proceedings seeking to recover damages due to the purchase of non-traded REITs like the Behringer Harvard REIT I, Behringer Harvard Opportunity REIT I and the Behringer Harvard Multifamily REIT I. [read post]
16 Dec 2022, 10:47 am
” The Financial Industry Regulatory Authority Inc. [read post]
27 Mar 2014, 2:45 pm
If your brokerage firm failed to perform the necessary due diligence or overlooked suitability requirements, they can be held liable for investment losses through a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
2 Jul 2015, 11:17 am
In one of the first arbitration awards to be announced in which UBS was ordered to pay $1 million to an investor related to the UBS closed-end bond funds, a Financial Industry Regulatory Authority (FINRA) arbitrator stated that a recommendation of the bond fund was unsuitable because it was “grossly overconcentrated… any proper UBS branch office or other review should have detected such obvious unsuitability. [read post]
1 Jul 2024, 9:01 pm
The Consumer Financial Protection Act does not explicitly authorize an attestation requirement. [read post]
24 Jul 2018, 6:36 am
The bill would strike from Dodd-Frank the provision that sets a five-year term for the Director and places a “for-cause” limit on the President’s authority to remove the Director. [read post]
