Search for: "Financial Industry Regulatory Authority"
Results 8121 - 8140
of 11,238
Sort by Relevance
|
Sort by Date
27 Feb 2014, 8:25 am
The articles were authored by group of prominent renewable energy developers. . . [read post]
27 Feb 2014, 7:21 am
” Similarly, “[r]eforming criminals” is nonoperational, while “[d]oubling the rate of inmate participation in prison industry programs” is operational. [read post]
25 Feb 2014, 7:52 pm
(Mubadala) The object is to diversify the economy of Abu Dhabi by investing in new local industries and strategic industries abroad. [read post]
24 Feb 2014, 8:25 pm
Court of Appeal for the Ninth Circuit ruled that a wage and hour class action, brought on behalf of financial advisors against Chase Investment Services Corp., would not be compelled to arbitration because the parties’ agreement calls for arbitration under Financial Industry Regulatory Authority (“FINRA”) rules, [...] [read post]
24 Feb 2014, 2:24 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm PNC Investments LLC, (PNC) concerning allegations from January 2008, through June 2009, PNC failed to establish a supervisory system, including written procedures, reasonably designed to achieve compliance with the FINRA rules in connection with the sale of leveraged, inverse, and inverse leveraged Exchange-Traded Funds (Non-Traditional ETFs). [read post]
24 Feb 2014, 5:45 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, Claimant CCO Investment Services and RBS Citizens asserted breach of contract, breach of fiduciary duty, misappropriation of trade secrets and confidential information, unfair competition, tortious interference, unjust enrichment, action on promissory note, andbreach of promissory note as contract. [read post]
24 Feb 2014, 4:50 am
Of course, it's always those simple concepts that seem to result in the most blatant violations with the worst consequences.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, Gregg N. [read post]
24 Feb 2014, 4:30 am
They commenced arbitration proceedings before the Financial Industry Regulatory Authority (FINRA) in May of that year, naming Sofia and Lehman Brothers as respondents. [read post]
21 Feb 2014, 3:53 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011 and as amended thereafter, Claimant Bonelli asserted breach of contract, loss of commissions and compensations in connection with his recruitment and work condi... [read post]
20 Feb 2014, 8:01 am
Now that I have your attention, take a few minutes to read about this fascinating case.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2013, public customer Claimant Goldman alleged causes of action including breach of fiduciary duty, unsuitability, and fraud in connection with his investments in Wolf Creek Land Company, LLC and Wolf Creek Land Company II LLC. [read post]
20 Feb 2014, 5:48 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Cambridge Investment Research, Inc. concerning allegations that from January 2009, to July 2010, Cambridge failed to ensure that the firm preserved, maintained, and reviewed the business emails of two of its registered representatives. [read post]
19 Feb 2014, 8:16 am
Sorry, you're gonna have to pop the cork and taste for yourself.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 a... [read post]
18 Feb 2014, 5:22 pm
He has worked in the banking industry for three decades, most recently as the Head of International Affairs at the Swiss Financial Market Supervisory Authority (FINMA). [read post]
18 Feb 2014, 2:38 pm
We have represented clients at both the state and Federal level and in arbitration through the Financial Industry Regulatory Authority, the National Futures Association, and the American Arbitration Association. [read post]
17 Feb 2014, 5:26 am
A recent InvestmentNews article highlighted a proposed rule change that the Financial Industry Regulatory Authority (FINRA) has proposed to the Securities and Exchange Commission (SEC) that would allow arbitrators to direct cases to FINRA enforcement during the pendency of the case. [read post]
15 Feb 2014, 4:39 am
In a twist on that theme, however, today's BrokeAndBroker Blog presents a case in which a test proctor compromised the system.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... [read post]
14 Feb 2014, 12:00 pm
American United Life Insurance Company 13-455Issue: Whether Section 546(e) of the Bankruptcy Code eliminates the statutory power to avoid payments related to a securities transaction when a financial institution acts as a mere conduit for the transferred property, as the Second, Third, Sixth, and Eighth Circuits have held, or whether the financial institution must have a beneficial interest in the transferred property, as the Eleventh Circuit has held. [read post]
14 Feb 2014, 8:58 am
It is financially and administratively independent and is governed by an independent General Assembly and Board of Directors." [read post]
14 Feb 2014, 5:48 am
Fleming will head an office that is responsible for ensuring that the concerns of retail investors are elevated at the commission, as well as at self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
13 Feb 2014, 6:27 am
The New York-based investment firm did not have an adequate program in place to look for and detect suspicious penny stock transactions, according the Financial Industrial Regulatory Authority (FINRA). [read post]
