Search for: "Financial Industry Regulatory Authority"
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4 Apr 2012, 7:20 am
CME was the designated self-regulator of MF Global, which included audit authority. [read post]
3 Sep 2009, 11:19 am
The typical securities arbitration claim filed with the Financial Industry Regulatory Authority (FINRA) takes about 1.25 years to complete. [read post]
18 Feb 2015, 2:48 pm
Aguilar suggests that the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board require broker dealers to disclose markups before executing trades for investors. [read post]
18 Jul 2012, 9:16 am
The question was whether the arbitrations should take place under the Financial Industry Regulatory Authority, Inc. [read post]
5 Dec 2023, 11:22 am
Markin’s name had shown up on an inquiry from by the Financial Industry Regulatory Authority. [read post]
22 Jul 2011, 8:47 am
As reported July 17 by Investment News, David Lerner continued to list the same price even after the Financial Industry Regulatory Authority (FINRA) instructed broker/dealers in 2009 to adjust prices on the investments more frequently. [read post]
28 Oct 2019, 10:19 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]
17 Jul 2012, 10:24 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]
22 Feb 2016, 5:52 pm
If you invested with Evan Kochav 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]
22 Nov 2019, 11:31 am
UBS-YES investors who have suffered losses can seek to recover those losses in a Financial Industry Regulatory Authority (FINRA) arbitration case which is private and confidential. [read post]
14 Dec 2020, 3:59 am
“In this legal malpractice action, defendants, through their expert’s affidavit, established prima facie entitlement to judgment as a matter of law by demonstrating that plaintiff could not prove that, but for their alleged negligence, he would have been awarded a greater recovery in an underlying FINRA (Financial Industry Regulatory Authority) litigation (see Nomura Asset Capital Corp. [read post]
15 Jul 2021, 11:01 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]
16 May 2012, 9:57 pm
., or any other broker, adviser or firm, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
22 Apr 2015, 3:14 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]
9 Jul 2009, 12:51 pm
Securities arbitration before the Financial Industry Regulatory Authority (FINRA) is serious business. [read post]
13 Nov 2009, 8:21 am
Their claim, filed Oct. 26 with the Financial Industry Regulatory Authority, the agency that handles broker complaints, says the broker visited their house as often as four times a week, made home repairs and played chess with them. [read post]
17 May 2012, 9:55 pm
If you were inappropriately invested in private placement REITs because of the recommendation of Corey Castilio, William Leitch and Purshe Kaplan or any other broker, adviser or firm, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
23 Jun 2007, 5:05 pm
And finally, the SRO arms of NYSE and NASDAQ are officially combining as SIRA--the Securities Industry Regulatory Authority. [read post]
30 Mar 2010, 5:13 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
3 Oct 2007, 8:51 am
The Financial Industry Regulatory Authority (FINRA) has announced that Morgan Stanley will pay $12.5 million in fines to resolve charges for mishandling e-mail dated before the Sept. 11, 2001, terrorist attacks. [read post]
