Search for: "Financial Industry Regulatory Authority"
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8 Aug 2012, 9:30 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
24 Jun 2012, 9:59 pm
Financial Industry Regulatory Authority rules have established that firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation. [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and… [read post]
19 Nov 2009, 12:48 pm
On July 29, 2009, Neely was barred by the Financial Industry Regulatory Authority (FINRA) from operating as a broker. [read post]
30 May 2012, 7:49 am
As of the end of March, margin accounts totaled more than $330 billion, according to the Financial Industry Regulatory Authority (FINRA). [read post]
2 Jun 2010, 10:37 am
Maddox Hargett & Caruso P.C. continues to file arbitration claims with the Financial Industry Regulatory Authority (FINRA) on behalf of investors who suffered investment losses in Medical Capital. [read post]
2 Jun 2011, 1:21 pm
However, Omni is at the center of several arbitration claims filed by investors with the Financial Industry Regulatory Authority (FINRA) over failed DBSI deals. [read post]
18 Oct 2011, 9:56 am
According to the Financial Industry Regulatory Authority (FINRA), Lerner allegedly provided misleading performance figures for Apple REITs and implied that future investments could be expected to achieve similar results. [read post]
17 May 2012, 8:06 am
“I needed income that I could count on and wasn’t risky,” said Block, who is seeking damages from his investment adviser in an arbitration case with the Financial Industry Regulatory Authority (FINRA), in the WSJ story. [read post]
25 Feb 2010, 3:13 pm
Ohio February 11, 2010) A former employee sought brought suit against his former employer for the employer's alleged failure to promptly notify the relevant insurance carrier and provide defense coverage to the employee for claims made against him and the employer in a Financial Industry Regulatory Authority arbitration. [read post]
31 Jan 2023, 4:48 pm
LiddleSECComplaint Earlier, in June 2022, the Financial Industry Regulatory Authority (FINRA) barred Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation to reports that Liddle allegedly borrowed more than $1.8 million from at least 13 of his customers while he was associated with his member firm, according to FINRA. [read post]
10 Jun 2012, 10:17 pm
Financial Industry Regulatory Authority rules have established that firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation. [read post]
17 Mar 2011, 10:06 am
” Minor most recently served as chief of the New Jersey Attorney General’s securities bureau and previously worked in the Investor Protection Bureau during the tenure of former New York Attorney General Eliot Spitzer from 2002 to 2004, was director & enforcement counsel at the Philadelphia Stock Exchange from 2004 to 2005 and was senior counsel at the Financial Industry Regulatory Authority, or Finra, from 2005 to 2009. [read post]
11 Nov 2023, 6:30 am
This information is intended to supplement the current short sale transaction information provided by major U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jan 2009, 6:01 pm
Meantime, the Financial Industry Regulatory Authority says it has received at least 19 complaints about Madoff's broker-dealer enterprise. [read post]
23 Jul 2009, 2:12 pm
The Financial Industry Regulatory Authority has made public records noting that Brookstone Securities terminated Buswell's employment this year in the wake of investigations involving allegations of fraud, unsuitability, failure to disclose complaints, churning, and other "disclosable matters" that may be "outstanding. [read post]
27 Jul 2010, 9:39 am
Until earlier this month, the definition of "accredited investor" in the C.F.R. included an investor with a net worth of at least $1 million, and contained no exclusion for the value of that investor's primary residence in calculating net worth.As described in the Sheppard Mullin Corporate & Securities Law Blog, the recent Dodd-Frank Wall Street Reform and Consumer Protection Act, which became effective on July 21, 2010, amends the definition of "accredited investor" to… [read post]
2 Sep 2020, 12:50 pm
Investigating Potential Securities Claims Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
5 Mar 2012, 11:51 am
The Financial Industry Regulatory Authority recently announced that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc. [read post]
15 Jul 2013, 3:13 pm
Sass Securities was recently fined $100,000 by the Financial Industry Regulatory Authority (FINRA) for distributing misleading marketing material. [read post]
