Search for: "Financial Industry Regulatory Authority"
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28 Jul 2015, 2:52 pm
Broker dealers that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
15 Jul 2008, 4:07 pm
Last month, Financial Industry Regulatory Authority CEO Mary Schapiro says that FINRA is worried that senior investors that are facing financial or economic difficulties may become victims of investment schemes if they opt for high-stake investments to recover their losses. [read post]
14 Dec 2010, 7:50 pm
District Court for the Southern District of New York said it was sustaining the award issued by the Financial Industry Regulatory Authority arbitration panel. [read post]
22 Dec 2010, 10:52 am
It claimed that because Merrill subsidiary Merrill Lynch Pierce Fenner & Smith Inc. is a Financial Industry Regulatory Authority member, the broker-dealer is required to arbitrate customer disputes. [read post]
8 Feb 2010, 7:16 pm
Stockbrokers registered with the Financial Industry Regulatory Authority (FINRA), have a fiduciary duty to exercise due diligence to determine whether such investments are suitable for their customers and to adequately disclose the risks associated with investing in speculative and highly illiquid private placements such as the IMH fund. [read post]
15 Jan 2009, 5:35 pm
In a front-page story today, the Journal — noting that when Obama nominated Schapiro he criticized regulators for a “failure of oversight” in the markets meltdown and the Bernard Madoff scandal — wrote that a close examination of Schapiro’s record as a regulator shows she has infrequently pursued tough action against big Wall Street firms.The Journal noted that the Financial Industry Regulatory Authority, or Finra,… [read post]
6 Feb 2009, 2:17 am
"
IN-HOUSE
Arbitration rules may up legal costs
Sheri Qualters / Staff reporter"Lawyers predict that new Financial Industry Regulatory Authority (FINRA) arbitration rules that sharply restrict when firms facing claims can file dismissal motions will drive up legal costs for financial companies defending employment and investor claims. [read post]
5 Feb 2010, 10:19 am
The suit alleges causes of action as unsuitability, misrepresentation and omission of material facts, according to records with the Financial Industry Regulatory Authority. [read post]
1 Apr 2010, 11:18 am
Cross has since filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA) in an attempt to recover her losses. [read post]
19 Aug 2012, 9:48 pm
According to securities arbitration lawyers, the increase in floating rate funds sales has caused the Financial Industry Regulatory Authority (FINRA) to pay more attention to these funds — specifically how they are marketed and sold. [read post]
13 Jun 2012, 9:54 pm
Financial Industry Regulatory Authority rules have established that firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
26 Apr 2012, 2:01 pm
In turn, investors filed grievances at the Financial Industry Regulatory Authority (FINRA) against the investment advisers who recommended these non-traded REITs to them. [read post]
28 Feb 2011, 6:00 am
The Administration plans to strengthen regulatory oversight of banks and other financial institutions through the consumer protection provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
8 Apr 2010, 9:01 am
In a separate complaint against Morgan Keegan, the Financial Industry Regulatory Authority (FINRA) alleges that the firm misled investors about the risk of investing in the funds, which cost investors well over $1 billion. [read post]
23 Jul 2018, 10:16 am
Margaret Mulligan Black, according to publicly available records with the Financial Industry Regulatory Authority (FINRA), is not currently registered as a broker. [read post]
22 Jan 2015, 2:45 pm
Broker dealers that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
5 Oct 2009, 1:48 pm
On Sept. 14, 2006, a National Association of Securities Dealers arbitration panel (now the Financial Industry Regulatory Authority) fined Securities America $2.5 million for failing to adequately supervise one of its brokers, David L. [read post]
17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
13 Apr 2011, 4:59 am
On April 11, a Denver, Colorado-based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded more than $54 million to two clients represented by the laws firms of Aidikoff, Uhl & Bakhtiari and Maddox, Hargett & Caruso. [read post]
3 Jan 2018, 1:44 pm
In a recent Financial Industry Regulatory Authority (“FINRA”) arbitration proceeding, RBC Capital Markets and its broker Bruce Cameron were ordered to pay a former client $723,000 for losses sustained from investing in MLPs. [read post]
