Search for: "Financial Industry Regulatory Authority"
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20 May 2013, 9:59 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in alternative investments. [read post]
17 May 2013, 11:41 am
Schwab's right to stop clients from bringing coordinated court actions was challenged last year by the Financial Industry Regulatory Authority, the securities industry’s principal regulator. [read post]
15 May 2013, 2:37 pm
On may 9, 2013 the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) released an Investor Alert to warn investors about the risk involved when selling or buying a pension or structured settlement income-stream. [read post]
12 May 2013, 9:30 pm
But, of course, pollution problems follow quickly on the heels of rapid industrialization, as China’s recent extreme air pollution numbers highlight. [read post]
9 May 2013, 8:56 am
On April 1, 2013, the U.K. embarked on the twin peaks model of financial regulation, with the Financial Conduct Authority regulating the securities industry and professionals and the Prudential Regulation Authority regulating the banking industry and financial institutions. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
8 May 2013, 10:58 am
According to a recent article in the Chicago Tribune, a number of investor have filed a claim with the Financial Industry Regulatory Authority (FINRA) against brokerage firm, B.C. [read post]
8 May 2013, 8:46 am
In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
3 May 2013, 2:36 pm
Thus, the industry supports the Financial Competitive Act, H.R. 1341, authored by Rep. [read post]
3 May 2013, 12:04 pm
In addition to its authority to examine members of the debt collection industry who qualify as “larger participants,” the CFPB has authority to examine debt collection by entities it has authority to examine (such as large banks, payday and private student lenders, and mortgage servicers) and service providers to such entities. [read post]
3 May 2013, 8:17 am
She also is a widely published author and highly regarded speaker on these matters. [read post]
1 May 2013, 9:30 pm
The Act’s regulatory overhaul eliminated the Financial Services Authority (FSA), the U.K. [read post]
1 May 2013, 7:11 am
Schwab should honor its customers’ rights and end its shameful fight against the Financial Industry Regulatory Authority." [read post]
30 Apr 2013, 4:41 pm
Over the past year or so, a conventional wisdom has developed about the status of the legal job market. [read post]
30 Apr 2013, 9:34 am
For nearly two years, the Financial Industry Regulatory Authority (FINRA) has been working on revisions to Rule 2340 which would change how brokerage firms value per-share REITs on client account statements. [read post]
25 Apr 2013, 11:03 am
If you suffered losses as a result of your dealings with Winterrowd you may be able to recovery your investment losses by filing a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Apr 2013, 11:22 am
Brokerage firms 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]
23 Apr 2013, 9:22 am
Last week, the Financial Industry Regulatory Authority (FINRA) Board approved a measure that may make it easier for investors to select arbitrators in a dispute against a securities brokerage. [read post]
22 Apr 2013, 9:52 am
Thompson is under investigation by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to produce a “privileged log” requested by FINRA. [read post]
