Search for: "Financial Industry Regulatory Authority"
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4 Aug 2014, 10:52 am
These include the developer’s track record of success with similar prior projects, the developer’s financial stability and reputation, and the project’s financial viability. [read post]
4 Aug 2014, 7:53 am
According to FA-Mag.com, the Financial Industry Regulatory Authority (FINRA) has accused five brokers of churning and excessive trading in clients account in order to generate commissions. [read post]
4 Aug 2014, 6:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Kevin Nevin (Nevin) concerning allegations that Nevin participated in 11 private securities transactions totaling $690,000 over the course of two years without first disclosing his participation his member firm. [read post]
3 Aug 2014, 9:30 pm
” Under pressure from the Department of Treasury and the Financial Stability Oversight Council, the Commission has been debating regulatory reform for money market funds (MMFs) since the Reserve Primary Fund broke the buck in 2008. [read post]
3 Aug 2014, 8:43 am
"We have always been concerned about singling out the construction industry," said Ned Muñoz, head of regulatory affairs for the Texas Association of Builders. [read post]
1 Aug 2014, 9:08 am
", then you may also have to deal with a persnickety regulator.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, David E. [read post]
1 Aug 2014, 8:39 am
On the other hand, if you're playing hide-and-seek and intentionally not disclosing the liens, you're headed for a world of regulatory hurt.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 witho... [read post]
1 Aug 2014, 7:12 am
The law offices of Gana LLP are investigating claims concerning allegations made by the Financial Industry Regulatory Authority (FINRA) that Michael Wurdinger (Wurdinger), from approximately February 2012, to February 2013, Wurdinger failed to adequately supervise sales of GWG Renewable Secured Debentures (GWG), an illiquid and high-risk alternative investment in violation of NASD Rule 3010 and FINRA Rule 2010. [read post]
1 Aug 2014, 7:00 am
The SEC started developing the task force in September and the Financial Industry Regulatory Authority has also established an enforcement team to target recidivist brokers. [read post]
31 Jul 2014, 8:49 am
The Financial Industry Regulatory Authority (FINRA) sanctioned financial advisor James Applewhite (Applewhite) concerning allegations that from about January 2010, through October 2012, Applewhite exercised discretion by effecting approximately 171 transactions in eight customer accounts without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary accounts as required by NASD Rule… [read post]
31 Jul 2014, 5:59 am
As is often the case, the SEC comes to mind, because it is the one agency that has some regulatory authority over large companies across all industries. [read post]
30 Jul 2014, 4:44 am
Barclays was in fact one of the many financial institutions named as a defendant in that earlier suit. [read post]
29 Jul 2014, 5:57 pm
The Financial Industry Regulatory Authority (FINRA) barred from the financial industry broker James Bracey (Bracey) concerning allegations that in or about February 2008, Bracey, received a $175,000 loan from a customer without notifying Multi-Financial, now known as Cetera Advisor Network LLC. [read post]
29 Jul 2014, 4:21 pm
Most importantly, it codifies an authority that is now highly contested, and it pushes back a scheduled sunset of that authority that is approaching rather quickly. [read post]
29 Jul 2014, 8:27 am
The Financial Industry Regulatory Authority (“FINRA“) recently announced the formation of a task force that will examine possible improvements to “the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants. [read post]
29 Jul 2014, 4:38 am
But you better be ready with a convincing answer someone from accounting calls you and starts asking their own great questions.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, James Xavier Dunne ... [read post]
29 Jul 2014, 3:38 am
In today's BrokeAndBroker.com Blog, we consider the problems of an apparent victory in which it looked like a registered representative had favorably settled her claims against Raymond James.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in Ma... [read post]
29 Jul 2014, 3:37 am
”[i] Another report noted, “By 2014, cloud computing is expected to become a $150 billion industry. [read post]
24 Jul 2014, 8:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2012, Claimant Negotiart of America asserted causes of action including breach of fiduciary duty and negligent... [read post]
24 Jul 2014, 7:44 am
Hari’s book Climate Change Litigation: Regulatory Pathways to Cleaner Energy? [read post]
