Search for: "Financial Industry Regulatory Authority"
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1 Sep 2013, 8:25 am
The NAC affirmed a Financial Industry Regulatory Authority (FINRA) finding that Alan Jay Davidofsky (Davidofsky) engaged in unauthorized trading, excessive trading, and churning in a customer’s account. [read post]
26 May 2011, 12:18 pm
Just this week, the head of the Financial Industry Regulatory Authority (FINRA) publicly called upon broker/dealers that sell private placements to engage in a more vigorous due diligence process, “pushing and pulling” for information about the products. [read post]
6 Oct 2011, 6:09 am
As discussed at the ADR Prof Blog, the Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
20 Dec 2010, 8:29 am
Earlier this year, the Financial Industry Regulatory Authority (FINRA) began to take a keen interest in non-traded REITs by conducting a sweep of the promotion practices and sales of broker/dealers associated with the products. [read post]
4 Nov 2018, 11:57 am
Financial Industry Regulatory Authority – These financial calculators are meant to provide you with some of the information necessary to make sound financial decisions and to plan for the future… [h/t Pete Weiss] [read post]
4 Jan 2012, 10:23 pm
The Financial Industry Regulatory Authority has issued similar guidance for brokerage firms it oversees. [read post]
18 Mar 2013, 1:19 pm
According to the Financial Industry Regulatory Authority (FINRA) rules, broker-dealer are required to make suitable recommendations that are consistent with an investors age, liquidity needs, financial objective, and risk tolerance to name a few factors In addition broker-dealers must perform an adequate investigation of the investment and demonstrate due diligence when making recommendations. [read post]
18 Dec 2008, 9:15 am
Law) is the CEO of the Financial Industry Regulatory Authority, the largest non-governmental regulator for all securities firms doing business with the U.S. public, and has been credited with beefing up enforcement while at the National Association of Securities Dealers. [read post]
26 Aug 2008, 3:14 pm
Journalist Walter Hamilton writes that investigators with the Financial Industry Regulatory Authority launched on-site examinations this week at brokerages to determine whether the middlemen knew about the problems in the market and warned customers about the risks. [read post]
9 Mar 2011, 8:15 am
In February 2010, the Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc. [read post]
6 Oct 2011, 6:09 am
As discussed at the ADR Prof Blog, the Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
12 Apr 2010, 2:08 pm
You also can find out if the person selling the offering or investment is registered with the Financial Industry Regulatory Authority (FINRA) on FINRA’s BrokerCheck Web site. [read post]
19 Nov 2019, 7:12 am
Zhang has been suspended as a stockbroker/advisor by The Financial Industry Regulatory Authority Inc. [read post]
7 Mar 2011, 5:24 am
Groetsch has since filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
2 Nov 2008, 6:52 am
., little was it known that its conclusion would benefit the unlikeliest of sectors in the Indian industry. [read post]
28 Dec 2014, 2:33 pm
The analysis is critically important for providing a window on the way in which Chinese sovereign investing--coordinating private market transactions through SOEs with national regulatory authority applied extraterritorially--will have a growing effect on the shape of globalization. [read post]
23 Feb 2024, 12:01 am
Broker Due Diligence 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]
19 Jun 2022, 7:17 pm
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]
8 Nov 2018, 9:05 am
Since then, many of them have filed Financial Industry Regulatory Authority (FINRA) securities arbitration claims contending that these investments, and their money, were improperly handled.They also claim that they were not properly apprised of the risks, which they say were misrepresented to them. [read post]
25 Apr 2022, 6:56 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]
