Search for: "Financial Industry Regulatory Authority"
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11 Jun 2010, 11:25 am
The family lost all but $16,500 and has since filed arbitration claim against Merrill Lynch with the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, which is now part of Bank of America, may be especially susceptible to the wrath of investors because it has sold the biggest inventory of CDOs and had the industry’s biggest brokerage force to sell them in the years leading up to the financial crisis. [read post]
17 Oct 2011, 7:27 am
Court of Appeals in Manhattan to overrule a decision by the Financial Industry Regulatory Authority, the independent regulatory group for the securities industry. [read post]
22 May 2012, 4:00 am
The AFSA proposal has engendered two different reactions in the industry. [read post]
23 Mar 2021, 7:23 am
Dalmore’s primary business line is investment banking, mainly dealing with private placements investments, according to the Financial Industry Regulatory Authority (FINRA). [read post]
11 Aug 2009, 4:00 am
Placement agents must be registered with the SEC or the Financial Industry Regulatory Authority. [read post]
31 Jul 2012, 9:15 am
Though not explicitly set forth by the Act, the Financial Industry Regulatory Authority (FINRA) was expected to create and oversee the new governing SRO. [read post]
26 Dec 2011, 8:55 am
Government Benefits Medicare Secondary Payer Protocol - Although no statutory or regulatory authority requires Medicare set-aside arrangements (MSAs) in third party liability settlements, confusion continues as to whether and when MSAs are necessary and/or appropriate for such cases. [read post]
4 Mar 2011, 1:59 am
The industry group suggested that going back on that decision would "put consumers at greater risk. [read post]
18 Jun 2011, 1:40 pm
Title VII of the Dodd-Frank Act establishes a regulatory regime for the OTC derivatives markets by providing the SEC and the CFTC with the tools to oversee these markets. [read post]
28 Aug 2008, 5:49 pm
Typically, these rights are asserted in arbitration claims brought before the Financial Industry Regulatory Authority, or FINRA. [read post]
11 Jul 2007, 8:27 pm
" OTS Director John Reich had discussed using the authority for months, but decided to move ahead with the plan after a House Financial Services Committee hearing last month that focused on regulatory efforts related to consumer protection, according to a person familiar with the situation. [read post]
8 Sep 2023, 7:53 am
This demonstrates to the insurance company that the claimant is serious and committed to pursuing their claim.In certain instances, filing a complaint with the appropriate regulatory authority may be necessary to address and resolve the issue of claim processing delays. [read post]
8 Sep 2023, 7:53 am
This demonstrates to the insurance company that the claimant is serious and committed to pursuing their claim.In certain instances, filing a complaint with the appropriate regulatory authority may be necessary to address and resolve the issue of claim processing delays. [read post]
25 Apr 2022, 5:59 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 Oct 2009, 5:48 pm
The company will pay a civil penalty of $42,137 and spend at least $22,500 to provide chemical release reporting training to the trucking and agricultural industries in Michigan. [read post]
24 Jan 2023, 4:00 am
The result has been a deadly mix of asset sweating, privatization of essential services, and a predatory, financialized capitalism that has stifled innovation and investment. [read post]
25 Sep 2019, 7:06 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Son’s customer complaints concern allegations of unauthorized trading, unsuitable investments, and misrepresentations among other claims. [read post]
1 Nov 2016, 9:16 am
” A week after the report’s release, Senator Elizabeth Warren referred to it in her questioning of Robert Ketchum, outgoing Chairman and CEO of the Financial Industry Regulatory Authority (“FINRA). [read post]
23 Feb 2009, 12:02 pm
(SGC) operated "led to the knowledge that stimulated the regulatory authorities to get interested" in Stanford and his companies. [read post]
6 Sep 2018, 1:39 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
