Search for: "Financial Industry Regulatory Authority"
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10 May 2014, 5:16 pm
Sir Alan will not be expected to determine IPSO’s regulations or structure, these have already been set by the industry, and will be maintained by the industry body behind IPSO – the Regulatory Funding Company (RFC). [read post]
10 May 2014, 6:00 am
Fantex is an online securities exchange that is a member of the Securities Investor Protection Corporation (SIPC) and Financial Industry Regulatory Authority (FINRA). [read post]
9 May 2014, 9:14 am
The Financial Industry Regulatory Authority (FINRA) has determined that Charles Schwab & Co. [read post]
9 May 2014, 5:54 am
In the end, however, there is a very impressive Arbitrator's rationale concerning a decision on whether to recommend expungement.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012 and as amended, public customer Claimant Barr, appearing pro se, asserted misrepresentations, negligence and failure to supervise in connection with his allegations pertaining to Respondents’… [read post]
8 May 2014, 6:22 am
Every dispute an investor has with their brokerage firm must be arbitrated through the Financial Industry Regulatory Authority (FINRA). [read post]
7 May 2014, 3:29 pm
According to FINRA.org, the Financial Industry Regulatory Authority (FINRA) fined Morgan Stanley’s brokerage firm $5 million for compliance failures related to the sale of initial public offerings (IPO). [read post]
6 May 2014, 4:26 pm
The following BakerHostetler Executive Alert was authored by: Andrew W. [read post]
6 May 2014, 3:02 pm
According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two retired school teachers $1.17 million for a claim involving tenant-in-common (TIC) investments . [read post]
6 May 2014, 7:01 am
The Financial Industry Regulatory Authority (FINRA) issued a Alert warning that in many cases free-meal investment seminars are not solely about education. [read post]
5 May 2014, 8:54 am
The Financial Industry Regulatory Authority (FINRA) has barred broker Mark R. [read post]
5 May 2014, 3:59 am
Today's BrokeAndBroker.com Blog explores a recent regulatory settlement involving a stockbroker's conduct upon learning of his customer's death.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, Jeffery Bowman Ellis… [read post]
2 May 2014, 3:27 pm
” During the relevant time, Seargen appears to have been a broker with a firm registered with the Financial Industry Regulatory Authority (FINRA). [read post]
2 May 2014, 3:56 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 regul... [read post]
1 May 2014, 1:38 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
1 May 2014, 11:17 am
Such is the case when last month the Financial Industry Regulatory Authority (FINRA) fined LPL Financial, LLC $950,000. [read post]
1 May 2014, 10:57 am
If so, the White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
1 May 2014, 6:45 am
A fascinating case with a superb Decision.Three EFLsIn a Financial Industry Regulatory Authority (“FINRA”) Arbit... [read post]
30 Apr 2014, 10:11 am
How does an individual with such an impressive background run afoul of the Financial Industry Regulatory Authority ("FINRA")? [read post]
30 Apr 2014, 8:48 am
Acces the NatureVest website which will be launched in full version on May 15<> Industry Campaign and Congressional Hearing Mislead on Bee Decline - A new report, released this week by author Michele Simon and Friends of the Earth documents the tactics used by Bayer and other pesticide companies to delay regulatory action on neonicotinoid pesticides –a key contributor to bee declines. [read post]
30 Apr 2014, 6:45 am
The Financial Industry Regulatory Authority (FINRA) has barred financial advisor William B. [read post]
