Search for: "Financial Industry Regulatory Authority"
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26 Jan 2009, 6:01 pm
Meantime, the Financial Industry Regulatory Authority says it has received at least 19 complaints about Madoff's broker-dealer enterprise. [read post]
23 Jul 2009, 2:12 pm
The Financial Industry Regulatory Authority has made public records noting that Brookstone Securities terminated Buswell's employment this year in the wake of investigations involving allegations of fraud, unsuitability, failure to disclose complaints, churning, and other "disclosable matters" that may be "outstanding. [read post]
27 Jul 2010, 9:39 am
Until earlier this month, the definition of "accredited investor" in the C.F.R. included an investor with a net worth of at least $1 million, and contained no exclusion for the value of that investor's primary residence in calculating net worth.As described in the Sheppard Mullin Corporate & Securities Law Blog, the recent Dodd-Frank Wall Street Reform and Consumer Protection Act, which became effective on July 21, 2010, amends the definition of "accredited investor" to… [read post]
2 Sep 2020, 12:50 pm
Investigating Potential Securities Claims Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
5 Mar 2012, 11:51 am
The Financial Industry Regulatory Authority recently announced that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc. [read post]
15 Jul 2013, 3:13 pm
Sass Securities was recently fined $100,000 by the Financial Industry Regulatory Authority (FINRA) for distributing misleading marketing material. [read post]
27 Jul 2010, 3:14 pm
This month, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a California family $2.1 million, which was the full amount of their loss on a $3 million investment. [read post]
31 Jul 2012, 10:01 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold these private placements. [read post]
19 May 2010, 10:39 am
Under the proposed rules, which reflect a consensus among the various U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA), trading in a stock would be paused for five minutes where the stock experienced a 10 percent change in price over a five minute period. [read post]
14 Sep 2018, 9:10 am
Also the issue paper embraces industry and regulatory support where RBC for mutual funds within the scope of SSAP 30 and reported on Annual Statement Schedule D – Part 2-2, could be based on the underlying assets. [read post]
22 Sep 2011, 4:08 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) fined UBS $2.5 million and ordered $8.25 million in restitution for UBS’s misconduct in selling Lehman so-called Principal Protected notes. [read post]
15 Dec 2017, 11:05 am
According to the Financial Industry Regulatory Authority (FINRA) website, BrokerCheck, there is no broker-dealer named Woodbridge Wealth. [read post]
17 Apr 2014, 1:05 pm
Brokers-dealers that make unsuitable investment recommendations or fail to perform adequate due diligence may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
17 May 2012, 8:00 am
This group claims that terminating this practice would resolve a very troubling regulatory issue. [read post]
19 Jul 2012, 10:10 pm
The company offered the Regulation D private placement to raise capital, and certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold the private placement. [read post]
6 Feb 2014, 1:40 pm
Babiarz is required to be registered with the state and with the Financial Industry Regulatory Authority (FINRA). [read post]
1 Feb 2012, 8:51 am
The Financial Industry Regulatory Authority (FINRA) recently issued an “investor alert” to warn investors who may be attracted to the high return promised by floating rate funds. [read post]
11 Nov 2023, 6:30 am
This information is intended to supplement the current short sale transaction information provided by major U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jun 2019, 8:39 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and… [read post]
