Search for: "Financial Industry Regulatory Authority"
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27 Jul 2010, 3:14 pm
This month, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a California family $2.1 million, which was the full amount of their loss on a $3 million investment. [read post]
31 Jul 2012, 10:01 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold these private placements. [read post]
19 May 2010, 10:39 am
Under the proposed rules, which reflect a consensus among the various U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA), trading in a stock would be paused for five minutes where the stock experienced a 10 percent change in price over a five minute period. [read post]
14 Sep 2018, 9:10 am
Also the issue paper embraces industry and regulatory support where RBC for mutual funds within the scope of SSAP 30 and reported on Annual Statement Schedule D – Part 2-2, could be based on the underlying assets. [read post]
22 Sep 2011, 4:08 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) fined UBS $2.5 million and ordered $8.25 million in restitution for UBS’s misconduct in selling Lehman so-called Principal Protected notes. [read post]
15 Dec 2017, 11:05 am
According to the Financial Industry Regulatory Authority (FINRA) website, BrokerCheck, there is no broker-dealer named Woodbridge Wealth. [read post]
17 Apr 2014, 1:05 pm
Brokers-dealers that make unsuitable investment recommendations or fail to perform adequate due diligence may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
17 May 2012, 8:00 am
This group claims that terminating this practice would resolve a very troubling regulatory issue. [read post]
19 Jul 2012, 10:10 pm
The company offered the Regulation D private placement to raise capital, and certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold the private placement. [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]
19 Apr 2016, 12:17 pm
In an effort to address these issues the Financial Industry Regulatory Authority (FINRA) issued an investor alert on April 7, 2016 to help address some of the larger and more common questions about the law of required minimum distribution (RMD). [read post]
1 Feb 2011, 3:30 pm
The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010. [read post]
23 Jan 2019, 12:33 pm
The SEC requires the seller of a variable annuity to possess a Series 6 or 7 brokerage license with the Financial Industry and Regulatory Authority (FINRA). [read post]
11 May 2023, 3:00 am
Members include entrepreneurs, investors, and advisers who work with early stage private companies and smaller public companies – as well as the SEC’s Advocate for Small Business Capital Formation and three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association (NASAA), and the Small Business Administration, as well as an observer appointed by the Financial Industry Regulatory… [read post]
1 Feb 2012, 8:51 am
The Financial Industry Regulatory Authority (FINRA) recently issued an “investor alert” to warn investors who may be attracted to the high return promised by floating rate funds. [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]
30 Jun 2019, 8:39 am
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]
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]
1 Nov 2009, 6:41 pm
The article noted that customers who went all the way to hearing before the Financial Industry Regulatory Authority (FINRA) have prevailed 45% of the time so far this year compared to just 37% in 2007. [read post]
9 Nov 2015, 4:20 pm
If you invested with Michael Oppenheim and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call the firm’s Chicago office at 312-238-9650. [read post]
