Search for: "Financial Industry Regulatory Authority"
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28 Jan 2019, 1:22 pm
If burdens from both the regulatory and tax sectors could be lifted, the law-abiding marijuana cultivators and retailers would have a decent shot. [read post]
17 Jul 2010, 8:52 am
Is the individual a member of the Financial Industry Regulatory Authority (FINRA)? [read post]
11 Oct 2021, 7:32 am
The firm is dedicated to helping investors in arbitration claims against their brokerage firms or financial professionals and has the knowledge and skills necessary to protect investors’ rights in securities cases filed with the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), the American Arbitration Association (AAA), and the National Futures Association (NFA). [read post]
23 Jul 2019, 12:11 pm
CFP Board imposed the sanction after reportedly receiving evidence that Couglar entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2009, 4:06 pm
October 31, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
19 Sep 2014, 12:17 am
However, overall, these proposals are good for cloud and good for the financial services industry in Singapore.Filed under: ASEAN, Data protection, Government policy, Hardware, Outsourcing, Regulatory action, Services, Singapore, Software, Technology Tagged: Financial Institutions, MAS, Monetary Authority of Singapore [read post]
28 Apr 2009, 11:48 pm
One need only look at where the deregulation of the financial industry has gotten us to see a dramatic example of the need for regulation. [read post]
26 Apr 2022, 8:46 am
The Consumer Financial Protection Act authorizes the CFPB to supervise any nonbank covered person, regardless of its size, that the CFPB has reasonable cause to determine “is engaging, or has engaged, in conduct that poses risks to consumers with regard to the offering or provision of consumer financial products or services. [read post]
20 Sep 2009, 7:38 am
The SEC, the North American Securities Administrators Association and the Financial Industry Regulatory Authority have all issued warnings about these investments. [read post]
13 Aug 2013, 5:39 am
The Financial Industry Regulatory Authority (FINRA) fined UBS $2.5 million in 2011 for omissions and statements made that mislead some investors regarding Lehman Brothers principal-protection notes. [read post]
23 Apr 2019, 1:56 pm
Suing GPB The Silver Law Group represents a client who invested $450,000 in GPB’s automotive fund, and has filed an arbitration claim with the Financial Industry Regulatory Authority against a broker-dealer on behalf of the client. [read post]
5 Dec 2017, 9:46 am
FINRA (The Financial Industry Regulatory Authority) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
29 Mar 2021, 2:17 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
8 Feb 2023, 9:22 am
This week, The Financial Industry Regulatory Authority (FINRA) sanctioned two Laidlaw & Company brokers with the payment of more than $150,000 in restitution and fines after they were found to have violated the Reg BI rule. [read post]
8 Jul 2020, 9:46 am
FINRA Reportedly Bars Advisor Ronald “Ron” Hannes after Allegations of Converting Customer Funds On February 13, 2020, the Financial Industry Regulatory Authority (FINRA) reportedly barred Hannes after he failed to produce documents and information requested by FINRA during its investigation into allegations that he converted customer funds. [read post]
27 Oct 2017, 8:20 am
As recently as a year ago, the Financial Industry Regulatory Authority (FINRA) fined Ameriprise $850,000 for failing to supervise an employee who stole more than $370,000 from five of the firm’s customers. [read post]
18 Feb 2014, 2:38 pm
We have represented clients at both the state and Federal level and in arbitration through the Financial Industry Regulatory Authority, the National Futures Association, and the American Arbitration Association. [read post]
19 Sep 2012, 6:51 am
Whether a given rating authority has “rejected” a rate under its regulatory jurisdiction, albeit after the fact, is a creature of its statutory framework. [read post]
19 Jun 2008, 7:39 pm
This will require authority to intervene to prevent the build up of conditions that create significant risk to the stability of the financial system. [read post]
13 Sep 2011, 2:55 pm
Walter observed that the SEC's study suggested three options: (1) the funding of examinations by the SEC from user fees paid the advisers; (2) the creation of a new SRO for investment advisers; and (3) delegating the oversight of firms that are dually registered as both investment advisers and broker-dealers to the Financial Industry Regulatory Authority (FINRA). [read post]
