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6 Apr 2011, 1:16 pm
The SEC announced that national securities exchanges and the Financial Industry Regulatory Authority (FINRA) today filed a proposal to establish a new “limit up-limit down” mechanism to address extraordinary market volatility in U.S. equity markets. [read post]
12 Jan 2009, 1:35 pm
President-elect Barack Obama's pick to lead the SEC, FINRA chief executive Mary Schapiro, will likely have to answer tough questions during her Senate confirmation hearings this week about civil suits filed against her and other regulators. [read post]
22 Jan 2010, 12:24 pm
FINRA reports 7137 arbitration claims were filed in 2009, up 43% from 2008. [read post]
6 May 2013, 12:28 pm
Although the class action waiver violates FINRA Rules, a... [read post]
8 Sep 2015, 3:26 am
Things Get Waaaay Worse for Wey UPDATESeptember 11, 2015This article provides a third update to "Law Professor FINRA NAC Member Files Defamation Complaint" (BrokeAndBroker.com, June 29, 2015), which is... [read post]
17 May 2013, 6:09 am
This class action waiver violates FINRA rules, but recently... [read post]
3 Nov 2011, 7:17 am
Broker-dealers and financial institutions concerned about the use of social media platforms for business communications should review relevant guidance recently released by FINRA. [read post]
14 Oct 2011, 11:24 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Societe Generale SA and affiliates to pay $61 million to Aurum STS Aggressive Trading LLC, a California fund manager. [read post]
7 Jun 2012, 1:13 pm
However, the Financial Industry Regulatory Authority (FINRA) warns that these loans come with significant risks, including potential credit, valuation and liquidity problems. [read post]
3 Feb 2012, 9:00 am
Schwab has a “fundamental disagreement” with FINRA regarding the interpretation of a court ruling on class-action lawsuits. [read post]
9 Dec 2021, 11:10 am
This fine is for the same violation that Wells Fargo was fined for in 2016.FINRA Fines Wells Fargo $2.25M Over Handling of Client Data [read post]
2 Sep 2015, 4:00 pm
An arbitration panel with the Financial Industry Regulatory Authority (FINRA) has recently awarded an elderly couple $2.5 million in an investment fraud case. [read post]
7 Apr 2011, 7:33 am
Finra, which regulates Wall Street, has sanctioned two firms and seven individuals who sold stakes in Medical Capital and Provident Royalties, private placements that turned out to be fraudulent. [read post]
21 Nov 2011, 7:18 am
(FINRA ) is warning Wall Street brokerage firms about the use of special “senior” designations when marketing investments products. [read post]
30 Dec 2017, 3:00 am
There is so much to unpack in FINRA’s recent settlement with Citigroup Global Markets over its analyst ratings. [read post]
7 Apr 2011, 1:49 pm
(FINRA) is set to come down on Wells Investment Securities, the Georgia-based broker-dealer arm of one of the largest sponsors of non-traded real estate investment trusts for allegedly failing to meet standards for advertising and keeping client data information safe. [read post]
10 Feb 2014, 2:51 pm
Richards, Defining "Customer": A Survey of Who Can Demand FINRA Arbitration, 74 La. [read post]
7 Jul 2011, 1:54 pm
A FINRA arbitration panel in California awarded a hedge fund, Rosen Capital Management, $63.7 million in its dispute with Merrill Lynch. [read post]
29 Aug 2024, 10:56 am
For decades, we've known that many arbitration awards in the FINRA arbitration forum go unpaid. [read post]
31 Oct 2023, 10:00 pm
(FINRA), currently the only RNSA, must now adopt rules implementing the infrastructure for such reporting and dissemination. [read post]
