Search for: "Financial Industry Regulatory Authority"
Results 7521 - 7540
of 11,238
Sort by Relevance
|
Sort by Date
6 Feb 2015, 7:22 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm WFG Investments, Inc. [read post]
5 Feb 2015, 3:45 pm
– 180 days to file Consumer Financial Protection Act (CFPA). [12 U.S.C. [read post]
5 Feb 2015, 3:45 pm
– 180 days to file Consumer Financial Protection Act (CFPA). [12 U.S.C. [read post]
5 Feb 2015, 2:06 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
5 Feb 2015, 11:38 am
Brokers with many customer complaints from failed products often have few options for cleaning up their professional record, which is publicly available through the Financial Industry Regulatory Authority’s (FINRA’s) CRD or Brokercheck system. [read post]
5 Feb 2015, 5:59 am
According to The Financial Industry Regulatory Authority (FINRA) BrokerCheck system, the customer complaints primarily allege unauthorized trading, failure to execute, suitability, misrepresentation, fraud, churning, and breach of fiduciary duty. [read post]
5 Feb 2015, 2:05 am
Oh, trust me, it's a big deal and FINRA was right on top of this misconduct.Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Sadeer Thomas Jamil submitted a Letter of Acceptance, Waiver and Consent (“AWC”),… [read post]
4 Feb 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against brokerage firm Randor Research & Trading Company (Randor) and registered representatives William Scholander (Scholander) and Talman Harris (Harris) alleging that between February 2011, through March 2013, Radnor displayed a pattern of disregard of its supervisory obligations concerning reporting, disclosure, and compliance responsibilities. [read post]
3 Feb 2015, 2:59 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
2 Feb 2015, 12:00 am
The council is charged with reviewing initial decisions related to disciplinary and membership proceedings of the Financial Industry Regulatory Authority (FINRA). [read post]
1 Feb 2015, 5:13 pm
Authors will be notified regarding whether their paper has been accepted for presentation at the conference by April 30, 2015. [read post]
30 Jan 2015, 8:47 am
As the online marketplaces proliferate in regulated industries, not surprisingly we’re seeing plenty of regulatory blowback, including barriers to entry and attempts to make new enterprises fit into regulatory frameworks that weren’t designed for them. [read post]
30 Jan 2015, 5:22 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Michael Evangelista (Evangelista) concerning allegations that between 2006 and 2011, Evangelista referred approximately six of his firm customers to invest in real estate securities issued by ABC Corp. [read post]
29 Jan 2015, 3:13 pm
According to the article, the deal is nearing approval from the Financial Industry Regulatory Authority (FINRA). [read post]
28 Jan 2015, 5:05 am
While still with Destiny's Child, Wall Street regulator Beyonce admonished: Say my name, say my nameYou actin' kinda shadyRumor has it that the diva was upset with the Financial Industry Regulatory Authority's often inexplicable policy about naming or not naming an affiliated bank of one of its larger member firms. [read post]
28 Jan 2015, 5:04 am
Consider this recent regulatory settlement.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Nnamdi B. [read post]
27 Jan 2015, 5:58 am
This post continues our prior report on the Financial Industry Regulatory Authority’s (FINRA) recently sanctions against Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma including the firm’s supervision of registered representatives, the firm’s suitability processes and procedures, some of the firm’s implemented procedures relating… [read post]
26 Jan 2015, 1:12 pm
The rapid changes in legal rules and regulatory environmenthave created new challenges for different industries, where people generally turn to their trusted advisors. [read post]
26 Jan 2015, 8:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma in specific areas of Sigma’s supervisory systems and procedures including the firm’s supervision of registered representatives, the firm’s suitability processes and procedures, some of the firm’s implemented… [read post]
24 Jan 2015, 5:29 am
Financial Industry Regulatory Authority, Inc. [read post]
