Search for: "Financial Industry Regulatory Authority"
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28 Apr 2022, 8:11 am
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]
1 Mar 2023, 6:07 am
” “The Economic Crime and Corporate Transparency Bill, currently working its way through the legislative process, has started to move the dial on AML supervision on the legal sector, introducing new fining powers for the Solicitors Regulation Authority (SRA) and Scottish Solicitors’ Discipline Tribunal and a new regulatory objective around preventing economic crime. [read post]
3 Mar 2022, 8:56 am
Given the anticipated increased regulatory scrutiny over Private Equity, it is prudent for financial lines insurers to have a handle on the existing potential exposures resulting from partnership separations. [read post]
26 Mar 2009, 4:44 am
Authority over such arrangements is incomplete and fragmented.Thus, legislation should give a single entity broad and clear authority over systemically important payment and settlement systems and activities. [read post]
7 Sep 2023, 1:03 am
Boiler Room Cold Calling in 2023 According to The Financial Industry Regulatory Authority (FINRA)’s National Cause and Financial Crimes program, boiler room operations continue as a method to promote fraudulent investment schemes. [read post]
8 Mar 2023, 7:27 am
It dove into what the author deemed the “age of the crypto whistleblower[s]. [read post]
18 Sep 2023, 8:04 am
It dove into what the author deemed the “age of the crypto whistleblower[s]. [read post]
15 Feb 2021, 11:03 am
Our New York securities fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this senior investor in her Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm. [read post]
8 Feb 2022, 2:21 pm
Edwards based her ruling in part on grounds that the Financial Industry Regulatory Authority administrators had allowed Wells Fargo and an outside lawyer to “manipulate” the arbitrator selection process. [read post]
1 May 2020, 10:16 am
In August 2013 and May 2014, the Financial Industry Regulatory Authority, Inc. [read post]
1 Dec 2009, 8:57 am
Investors who elect to opt out of the class action can join hundreds of other investors who have filed their own independent securities arbitration claims with the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jul 2016, 8:40 am
Malecki frequently meets with the Securities Exchange Commission (SEC), Department of Justice (DOJ) and Financial Industry Regulatory Authority (FINRA) to discuss issues related to investor protection, supervision for elderly investors, and suitability. [read post]
7 Aug 2011, 7:34 am
In February, Workman reached an agreement with the Financial Industry Regulatory Authority (FINRA) to pay $700,000 for partial restitution to more than a dozen clients who had sued the B-D over investments in both Provident Royalties and Medical Capital. [read post]
28 Jun 2021, 11:52 am
On June 25, 2021, Merrill Lynch and the Financial Industry Regulatory Authority (“FINRA”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017053437701 (“AWC”) over allegations that between January 2011 and December 2015, Merrill Lynch violated NASD and FINRA rules for failing to maintain an adequate supervisory system and written procedures to monitor Unit Investment Trusts transactions. [read post]
14 Oct 2011, 12:00 pm
Financial Industry Regulatory Authority published proposed amendments to its rules that would require its members and associated persons that offer or sell private placements, as well as those that participate in the preparation of private placement memoranda, term sheets or other related disclosure documents in connection with a private placement, to provide disclosure to investors regarding the anticipated use of the offering proceeds prior to sale. [read post]
3 Jul 2018, 3:53 am
The main stakeholders to be consulted will include national authorities (including consumer protection bodies), credit providers, industry associations and consumer organisations. [read post]
1 Aug 2011, 7:38 am
” Galvin’s probe into leveraged and inverse ETFs began in July 2009, shortly after the Financial Industry Regulatory Authority (FINRA) issued a warning about the products and their suitability for long-term investors. [read post]
19 Sep 2018, 3:49 pm
Ameritas can be held liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum because the firm did not reasonably supervise Mr. [read post]
21 Sep 2010, 5:05 am
Several months later, both the SEC and the Financial Industry Regulatory Authority (FINRA) issued a notice to investors on leveraged ETFs. [read post]
24 Sep 2010, 12:35 pm
According to an arbitration panel of the Financial Industry Regulatory Authority (FINRA), the claimant in the case, Viola McNeill, 79, had a $700,000 account in Fidelity’s Portfolio Advisory Services (PAS) fee-based management program. [read post]
