Search for: "Financial Industry Regulatory Authority"
Results 7881 - 7900
of 11,238
Sort by Relevance
|
Sort by Date
4 Jul 2014, 5:11 pm
What has been established beyond doubt is that News International journalists in the UK were indulging in illegal hacking on an ‘industrial scale’. [read post]
4 Jul 2014, 5:20 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Polar Investment Counsel, Inc. [read post]
3 Jul 2014, 5:31 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Moloney Securities Company, Inc. [read post]
3 Jul 2014, 5:18 am
On June 25, the SEC announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission a national market system plan to implement a targeted 12 month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain small capitalization stocks. [read post]
2 Jul 2014, 9:30 pm
Ultimately, the authors recommend that the Office of Information and Regulatory Affairs institutionalize cost-benefit analysis principles for financial regulators and bring financial regulatory agencies under its supervision. [read post]
2 Jul 2014, 3:45 pm
Reportedly, the mistake happened while a Goldman Sachs contractor was testing internal changes made to Goldman Sachs' system to meet new requirements from the Financial Industry Regulatory Authority. [read post]
2 Jul 2014, 10:37 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Infinex Investments, Inc. [read post]
2 Jul 2014, 2:58 am
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... [read post]
1 Jul 2014, 12:13 pm
What he neglected to tell his clients and prospective clients is that not only did he fail in his own personal financial life, (he filed for bankruptcy twice), but he was also forced out of the broker-dealer industry in 2009 by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Jul 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Gilford Securities, Inc. [read post]
30 Jun 2014, 8:59 am
” According to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, Gainers’, Cicolanis’ and Hoods’ employment at PSSI was terminated. [read post]
30 Jun 2014, 6:07 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Dawson James Securities, Inc., (Dawson James) concerning allegations that the firm did not provide for supervision reasonably designed to comply with certain applicable securities laws and regulations. [read post]
27 Jun 2014, 10:34 am
Waste Treatment Biz Lands Stockbroker In FINRA DumpsterJuly 3, 2014For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or ... [read post]
27 Jun 2014, 7:20 am
For one thing, there's a fair amount of cash in the panic-driven consulting industry. [read post]
27 Jun 2014, 6:03 am
For 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, Peter Saunders Paisley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Jun 2014, 5:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker-dealer J.P. [read post]
27 Jun 2014, 3:25 am
This is an update of Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award (BrokeAndBroker.com, June 20, 2012).In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted:fraudulent misrepresentation;promissory fraud;fraudulent concealment and/or omission;negligent misrepresentation;negligent concealment… [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]
26 Jun 2014, 12:36 pm
Brokers are required by the Financial Industry Regulatory Authority (FINRA) to recommend investments that are suitable for their clients. [read post]
26 Jun 2014, 5:30 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Carolina Financial Securities, LLC (Carolina Financial) concerning allegations that the firm failed to conduct proper due diligence on private placements sold by the firm. [read post]
