Search for: "Financial Industry Regulatory Authority"
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18 Jul 2016, 1:49 pm
Nontraded REITs (Real Estate Investment Trusts) have long been an area of concern for securities regulators like the Financial Industry Regulatory Authority (FINRA) because they are generally illiquid investments that pay high upfront commissions to the brokers who sell them. [read post]
27 Dec 2017, 7:55 am
According to the Financial Industry Regulatory Authority (FINRA) website, BrokerCheck, there is no broker-dealer named Woodbridge Wealth. [read post]
24 Jun 2009, 11:53 am
Securities claims against stockbrokers are typically resolved through arbitration before the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jun 2011, 2:50 pm
He accused FINRA (the Financial Industry Regulatory Authority whose purpose is to protect investors under the auspices of the SEC), to the Nazis of World War II. [read post]
12 Nov 2010, 10:17 am
” Similarly, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both issued notices to investors about the risks associated with leveraged and inverse ETFs. [read post]
24 May 2013, 6:44 am
However, rather than an altruistic gesture on Schwab’s part, removal of the class action waiver comes as the result of a complex set of events, whereby a FINRA (Financial Industry Regulatory Authority) panel decided to permit such waivers, but the decision was later opposed by the larger body of the FINRA itself. [read post]
26 Apr 2010, 2:35 am
According to the Financial Industry Regulatory Authority (FINRA), 2009 witnessed a significant increase in arbitration filings and complaints by mutual fund investors. [read post]
16 Aug 2010, 4:00 am
While the rules of some arbitration forums, such as the Financial Industry Regulatory Authority (FINRA), permit nationwide representation in arbitrations by lawyers licensed in any jurisdiction, or even non-lawyers, counsel are still subject to local prohibitions on unauthorized practice of law. [read post]
30 Mar 2010, 7:11 am
The Financial Industry Regulatory Authority (FINRA) and state insurance commissioners have repeatedly warned of the dangers of these complicated products and the possibility of sales abuses. [read post]
2 Jul 2014, 3:45 pm
Reportedly, the mistake happened while a Goldman Sachs contractor was testing internal changes made to Goldman Sachs' system to meet new requirements from the Financial Industry Regulatory Authority. [read post]
26 May 2020, 7:26 am
Our Texas investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are representing this investor in Financial Industry Regulatory Authority (FINRA) arbitration to recover these losses. [read post]
1 Jun 2021, 7:31 am
Our Energy 11 investment fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this retiree in her Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
8 Mar 2011, 9:23 am
Rodman & Renshaw has signed a letter of intent to buy the OTCBB from its current owner, the Financial Industry Regulatory Authority (FINRA). [read post]
27 Oct 2015, 11:37 am
Carey Center for Dispute Resolution and the Financial Industry Regulatory Authority (FINRA). [read post]
24 Aug 2011, 8:51 am
And boy, am I ever glad I did: "Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies ... [read post]
28 Jan 2010, 4:19 am
The White Paper sets out the Conservatives' plans for the regulation of the financial services industry, should they win the next UK general election, which will take place on or before 3 June this year.According to the White Paper, the Conservatives consider that the current tripartite regulatory regime has inherent structural weaknesses, including that no single body has both the responsibility for macro-prudential regulation (ie maintenance of financial… [read post]
25 Jan 2012, 11:38 am
On Jan. 13, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ruled thatandnbsp;Merrill Lynch had to repay Mirabelli and his wife Kristin more than $1.2 million in damages and fees. [read post]
16 Apr 2020, 9:05 pm
FLASHBACK FRIDAY In a 2018 essay for The Regulatory Review, Nicholas Bellos presented an argument for financial regulators and the U.S. [read post]
21 Feb 2009, 5:47 am
Given the dynamic changes in an industry that is a subset of an even more dynamic financial services industry why not simply try to keep things current? [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
