Search for: "Finra"
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7 Aug 2019, 1:08 pm
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
18 Jul 2011, 2:46 pm
A Finra arbitration panel ordered Neuberger Berman to pay more than $5 million to four former clients who bought structured products secured by Lehman Brothers' debt. [read post]
26 May 2011, 12:35 pm
Finra fined Credit Suisse Securities $4.5 million and Merrill Lynch $3 million, saying they had misled investors about the bad loans in mortgage-backed securities. [read post]
20 Aug 2019, 7:12 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
17 Jun 2010, 2:49 pm
The SEC today announced that the national securities exchanges and FINRA are filing proposed rules to clarify the process for breaking erroneous trades. [read post]
27 Sep 2011, 2:59 pm
The SEC announced that the national securities exchanges and the FINRA are filing proposals to revise existing market-wide circuit breakers that are designed to address extraordinary volatility across the securities markets. [read post]
19 Feb 2009, 12:38 pm
The New York Times reports that both the SEC and FINRA previously found violations at the Stanford Group, but let it off the hook with small fines.... [read post]
15 Aug 2019, 7:37 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
21 Aug 2022, 12:45 pm
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration (BrokeAndBroker.com Blog)California Executive Compensation Consultant Pleads Guilty To Securities Fraud For Committing Insider Trading (DOJ Release)... [read post]
31 Jul 2007, 7:04 am
The Financial Industry Regulatory Authority (FINRA), was created from a combination of NYSE Regulation Inc. and NASD (National Association of Securities Dealers) regulatory arms. [read post]
29 May 2013, 11:45 am
The FINRA Investor Education Foundation released the results of America's State-by-State Financial Capability Survey. [read post]
24 Aug 2020, 7:48 am
The Northern District of Illinois recently denied a broker’s motion for a temporary restraining order and a preliminary injunction against the Financial Industry Regulatory Authority (FINRA) seeking to stop a scheduled remote arbitration hearing. [read post]
19 Sep 2011, 12:15 pm
New blog post reviewing FINRA's September 2011 disciplinary cases involving U4 issues is online now over at www.u4review.com. [read post]
8 Aug 2019, 1:42 pm
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
8 Aug 2019, 11:17 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
20 Aug 2019, 12:05 pm
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
12 Dec 2022, 3:12 am
Jones Fails To Timely Or Fully Produce Phone Records To FINRA (BrokeAndBroker.com Blog)Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm (BrokeAndBroker.com Blog)... [read post]
20 Aug 2009, 5:31 am
The SEC has admitted that it lacks the expertise or the technology to monitor securities trading and that, therefore, it leaves such matters to the SROs, Finra and NYSE Regulation. [read post]
10 Oct 2024, 10:52 am
Although FINRA has changed its rules to deal with abuse of the expungement process, the new rules only apply to claims filed after October 16, 2023. [read post]
23 Apr 2020, 3:49 pm
Aligns with FINRA. [read post]
