Search for: "Financial Industry Regulatory Authority"
Results 8141 - 8160
of 11,238
Sort by Relevance
|
Sort by Date
12 Feb 2014, 4:42 pm
Prudential Regulatory Authority, and, in the United States, the Office of the Comptroller of the Currency, the Securities and Exchange Commission and the Federal Reserve. [read post]
12 Feb 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. [read post]
11 Feb 2014, 6:00 am
Oakes (Oakes) has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) concerning allegations from 2005 through May 2008, Oakes had engaged in unsuitable short term trading of low priced and/or speculative securities in the accounts of at least three customers causing substantial losses. [read post]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
10 Feb 2014, 4:00 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2012, Claimant Negotiart of America asserted causes of action including breach of fiduciary duty and negligent supervision in connection with its investments in the common stocks of companies such as Assured Pharmacy, Aura Systems, and Digital Devel... [read post]
7 Feb 2014, 6:42 am
Financial Advisor Michael DeRosa (DeRosa) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he refused to provide testimony to the regulator concerning his involvement in Success Trade Securities, Inc. [read post]
6 Feb 2014, 2:00 pm
Akin to all the regulatory charges on a telephone or cable bill. [read post]
6 Feb 2014, 1:40 pm
Babiarz is required to be registered with the state and with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Feb 2014, 1:34 pm
According to the Financial Industry Regulatory Authority (FINRA) both brokers have been involved in multiple customer disputes. [read post]
6 Feb 2014, 10:10 am
Turner & Company, LLC (“JP Turner”), has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that from August 12, 2009, through September 21, 2011, Winterrowd misappropriated approximately $1.5 million from at least four different customers and used the funds for his own purposes. [read post]
5 Feb 2014, 5:58 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, former Raymond James associated person Fenyk sued his former employer for retaliation, discrimination based on disability and sexual orientation, and violation of the Vermont Fair Employment Practices Act. [read post]
5 Feb 2014, 4:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimants alleged, among other causes of action, fraud and breaches of fiduciary duty and contract. [read post]
4 Feb 2014, 8:01 pm
Whereas the familiar guide provided by statutory, regulatory and judicial law was once sufficient; recent regulatory and policy changes have laid landmines, dug potholes, and strewn debris across the road, causing even the most experienced traveler to require a careful trek. [read post]
4 Feb 2014, 8:01 pm
Whereas the familiar guide provided by statutory, regulatory and judicial law was once sufficient; recent regulatory and policy changes have laid landmines, dug potholes, and strewn debris across the road, causing even the most experienced traveler to require a careful trek. [read post]
4 Feb 2014, 5:01 pm
Whereas the familiar guide provided by statutory, regulatory and judicial law was once sufficient; recent regulatory and policy changes have laid landmines, dug potholes, and strewn debris across the road, causing even the most experienced traveler to require a careful trek. [read post]
4 Feb 2014, 8:07 am
The effect of such a system is to artificially subsidize the financial services industry. [read post]
4 Feb 2014, 6:15 am
Supervisor Irving Burstein (Burstein) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) by accepting a one-year bar from the securities industry. [read post]
4 Feb 2014, 5:25 am
In today's BrokeAndBroker Blog, we have one such sporting event involving a lot of nastiness and one former employee's reputation hanging in the balance.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May of 2012, Claimant Robertson asserted defamation, tortious interference with prospective relations, and intentional infliction of emotional distress in connection with the purportedly inaccurate… [read post]
4 Feb 2014, 5:02 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed January 2009, associated person Claimant Meyer Claimant asserted wrongful termination, defamation, and tortious interference with business expectancy. [read post]
3 Feb 2014, 6:26 am
Broker Benjamin Cox (Cox) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning improper sales of oil and gas private placement offerings sold by Red River Securities LLC (Red River). [read post]
