Search for: "Financial Industry Regulatory Authority"
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15 Sep 2011, 12:10 pm
On September 28, 2007, the Financial Industry Regulatory Authority (andquot;FINRAandquot;), formerly known as NASD Regulation, Inc., ordered Morgan Stanley to establish a $9.5 million settlement fund for certain securities arbitration claimants whom were denied certain E-mails and updates to the firmandrsquo;s Supervisory Manual in connection with their arbitration claims against Morgan Stanley. [read post]
15 Feb 2019, 11:32 am
FINRA Bars Former MML Investors Broker Who Sold Woodbridge Promissory NotesThe Financial Industry Regulatory Authority (FINRA) has barred broker Floyd Powell. [read post]
28 Sep 2011, 10:11 am
New proposals by U.S. equities exchanges and the Financial Industry Regulatory Authority call for halts across markets to be implemented when the Standard & Poor’s 500 Index falls by certain percentage increments: seven percent (7%), thirteen percent (13%), and twenty percent (20%) from the prior day’s close. [read post]
12 Dec 2010, 6:12 pm
First, critics might argue that the Act is constitutionally suspect to the extent it creates crimes but allows the precise contours of the criminal conduct to be defined by unelected regulatory authorities. [read post]
14 Apr 2016, 3:34 pm
In 2014, the Financial Industry Regulatory Authority (FINRA) barred Donnelly from working in the industry for similar allegations (read more here). [read post]
23 Dec 2016, 12:00 pm
The bank has been accused of reporting vague and incorrect information about employees to the Financial Industry Regulatory Authority in retaliation for blowing the whistle on the unauthorized accounts. [read post]
9 Apr 2010, 6:24 am
In proceedings filed by the Securities and Exchange Commission (SEC); the Financial Industry Regulatory Authority (Finra); and U.S. states, Morgan Keegan was accused of misleading brokers and customers through marketing materials that did not disclose the risks being taken by a group of funds sold only to Morgan Keegan clients. [read post]
19 Jun 2012, 10:14 pm
” A Financial Industry Regulatory Authority arbitration claim was recently filed on behalf of an 81-year-old Peoria, Illinois resident. [read post]
19 Dec 2016, 7:44 am
Last week, the Financial Industry Regulatory Authority Inc. said it wanted to speak to any fired Wells Fargo reps about cross selling at the bank and its retail brokerage, apparently more fallout from the recent scandal. [read post]
19 Jun 2014, 7:30 am
According to The Warwick Advertiser “,,,the Financial Industry Regulatory Authority (FINRA) permanently expelled him from the broker-dealer industry in 2009 for engaging in serial misconduct against numerous customers. [read post]
9 Apr 2014, 2:48 pm
The civil complaint against the two MetLife broker’s was filed by the Financial Industry Regulatory Authority (FINRA), the securities industry watchdog. [read post]
5 Feb 2018, 1:31 pm
If you or someone you know lost money because of Nicholas Genovese and Willow Creek Investments, you may be able to recover those investments through the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
26 Jun 2014, 2:33 pm
Brokers are required by the Financial Industry Regulatory Authority (FINRA) to recommend investments that are suitable for their clients. [read post]
22 Jul 2011, 9:00 am
A disciplinary complaint was filed last month by the Financial Industry Regulatory Authority (FINRA) against David Lerner Associates, the sole brokerage that sells Apple REIT shares. [read post]
17 Oct 2019, 9:05 pm
Bill Himpler, president and CEO of the American Financial Services Association, welcomed the announcement, noting that “the financial services and consumer credit industries, as well as consumer needs, have evolved dramatically in just the past decade. [read post]
4 Sep 2014, 3:19 am
Financial Industry Regulatory Authority (FINRA) In January 2014, FINRA announced a “sweep” program, similar to OCIE’s, whereby firms under FINRA’s authority would be receiving targeted examination letters requiring them to respond to questions relating in general to their cyber preparedness. [read post]
4 Feb 2023, 11:48 am
With regulatory and privacy enforcement actions frequently reaching into the eight- and nine-figure range, and the financial and reputational costs of data breaches and ransomware attacks rising, it’s no wonder that CLOs are focusing their attention on these fields. [read post]
3 Jul 2019, 4:06 am
Industry Developments SPOTLIGHT: How Merchants Got Stuck With Card FraudDigital Transactions Magazine – July 1, 2019 It used to be when a merchant got an authorization—an approval from a card-issuing bank resulting from a request by the merchant—the merchant got paid. [read post]
18 Sep 2020, 12:11 pm
Accordingly, the guidance highlights and explains critical elements of value-based payment design and operations, including: Level and scope of financial risk; Benchmarking; and Payment operations. [read post]
28 Nov 2016, 6:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
