Search for: "Financial Industry Regulatory Authority"
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15 Apr 2014, 7:01 am
The Financial Industry Regulatory Authority (FINRA) maintains a public database, called BrokerCheck, which acts as a free tool for investors looking to research the backgrounds of FINRA registered personnel. [read post]
15 Apr 2014, 3:53 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, William Earl Boone, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which ... [read post]
14 Apr 2014, 9:00 am
For example, perceptions of corruption de-legitimate governmental authority, and thus increase the cost of regulatory effectiveness above and beyond whatever the direct regulatory costs of corruption are. [read post]
14 Apr 2014, 8:56 am
You may just be asking for some old-fashioned regulatory justice.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, Kaori Hagihara submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Apr 2014, 6:58 am
On March 21, 2014, The Financial Industry Regulatory Authority (FINRA) announced that it is investigating trading in Puerto Rico, examining secondary trades in Puerto Rico’s blockbuster $3.5 billion bond deal. [read post]
13 Apr 2014, 2:43 pm
(Aoife White, EU’s top court says data law tramples on privacy rights Financial Post, April 8, 2014)But not just the United States. [read post]
13 Apr 2014, 8:59 am
This qualified authority, unlike the power often exercised in the sixteenth and seventeenth centuries by the English Crown, is limited to the promotion of advances in the “useful arts. [read post]
12 Apr 2014, 3:48 am
As with all mixtures of family and money, this one doesn't end particularly well.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, John Lamar Gibson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Apr 2014, 12:00 am
[xviii] Under this structure, a particular city divides its businesses into industry classifications, and the classifications requiring greater resource use are taxed at higher rates. [read post]
11 Apr 2014, 3:11 pm
Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot soldiers. [read post]
11 Apr 2014, 10:50 am
Circuit case (opinion by Justice Janice Rogers Brown) striking down a delegation of regulatory authority to Amtrak on private non-delegation doctrine grounds. [read post]
11 Apr 2014, 6:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marylin T. [read post]
11 Apr 2014, 4:26 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2013, Claimant Dabit sought expungement of a customer complaint filed in April 2008 from his Central Registration Depository record (“CRD”) and $50 in compensatory damages for his FINRA filing fees. [read post]
10 Apr 2014, 11:39 am
She wants outside counsel to help her see around the corners in terms of regulatory risks. [read post]
10 Apr 2014, 6:52 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Centaurus Financial, Inc., (Centaurus) concerning allegations that Centaurus failed to supervise the business activities of five representative in the dissemination of communications concerning the risks of certain private placements. [read post]
9 Apr 2014, 2:55 pm
If your broker dealer sold you an investment that was not suitable, they can be held liable for your financial losses in a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
9 Apr 2014, 2:48 pm
The civil complaint against the two MetLife broker’s was filed by the Financial Industry Regulatory Authority (FINRA), the securities industry watchdog. [read post]
9 Apr 2014, 11:07 am
More than three million truck drivers in the United States are facing a regulatory upheaval which will cost the industry an estimates $2 billion and change the ways in which many truck drivers operate. [read post]
9 Apr 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) fined broker-dealer, Berthel Fisher & Co. [read post]
8 Apr 2014, 3:45 pm
Brokers-dealers that make unsuitable investment recommendations and/or mislead clients regarding DBSI may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
