Search for: "Finra"
Results 7021 - 7040
of 18,149
Sorted by Relevance
|
Sort by Date
21 Apr 2018, 5:02 am
FINRA Bogarts the Weed In Medical Marijuana SettlementApril 20, 2018Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... [read post]
7 Aug 2019, 12:13 pm
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
16 Feb 2009, 8:37 am
"The securities industry's self-regulator, the Financial Industry Regulatory Authority (Finra) has made it much more difficult for securities firms to obtain summary dismissals in disputes brought by investors". [read post]
8 Jan 2023, 8:58 am
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person (BrokeAndBroker.com Blog)Did You Hear The One About The Zombie Who Requested An IRA Distribution? [read post]
10 Jan 2012, 3:41 am
FINRA? [read post]
18 Nov 2010, 4:40 am
A Finra arbitration panel rejected the actor Will Ferrell's claims against the bank and ordered him and his associates to pay a total of $622,500 in legal fees and penalties. [read post]
20 Feb 2009, 2:10 pm
New cases filed in FINRA arbitration increased in 2008 by 54% over 2007 -- 4962 cases compared with 3238 in the previous year. [read post]
14 Aug 2019, 10:47 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
19 Mar 2012, 12:36 pm
FINRA announced today that it fined Citi International Financial Services LLC, a subsidiary of Citigroup, Inc., $600,000 and ordered more than $648,000 in restitution and interest to more than 3,600 customers for charging excessive markups and markdowns on corporate and... [read post]
17 Jan 2012, 2:33 pm
James Vicini of Reuters is reporting: He has articles headlined "Supreme Court rejects prayer, student Internet cases" and "Supreme Court won't hear FINRA immunity case. [read post]
17 Nov 2009, 12:52 pm
FINRA announced that the SEC has approved a major expansion of its BrokerCheck service â€" to make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities... [read post]
12 Aug 2019, 9:59 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
13 Nov 2011, 5:14 am
Walter made an important speech on November 8, 2011 at the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program at the University of Pennsylvania, in which she explored the relationship between public... [read post]
13 Nov 2017, 4:00 am
PIABA: NEARLY HALF OF FINRA'S "PUBLIC GOVERNORS" HAVE INDUSTRY TIES AND OTHER CONFLICTS OF INTEREST / So-Called "Public" Members Include Hedge ... [read post]
14 Aug 2019, 2:02 pm
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
13 Aug 2019, 10:42 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
5 Sep 2015, 10:00 am
A financial advisor taking on the position of executor does not violate FINRA policies, but it is still a responsibility that he or she should be cautious about undertaking. [read post]
8 Nov 2010, 12:59 pm
The SEC approved new rules proposed by the exchanges and FINRA to strengthen the minimum quoting standards for market makers and effectively prohibit "stub quotes" in the U.S. equity markets. [read post]
10 Jun 2010, 10:32 am
The SEC said it would act fast, and it did: today it approved rules that will require the exchanges and FINRA to pause trading in certain individual stocks if the price moves 10 percent or more in a five-minute period.... [read post]
2 Feb 2012, 7:15 am
The Financial Industry Regulatory Authority (FINRA) recently issued a report outlining is its regulatory and examination priorities for 2012. [read post]
