Search for: "Financial Industry Regulatory Authority"
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20 Jan 2014, 2:23 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 1:32 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 1:04 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 11:20 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Bedminster Financial Group, Ltd. [read post]
20 Jan 2014, 4:11 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012 and as amended thereaf... [read post]
16 Jan 2014, 1:48 pm
According to the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
16 Jan 2014, 12:38 pm
Broker dealers are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence on any investment they recommend and to ensure that they only recommend investments that are suitable for their clients. [read post]
16 Jan 2014, 4:39 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2010, Claimant Merrill Lynch ultimately sought to recover $266,538.09 plus $43,943.73 in interest, and $211,134.90 in attorneys’ fees and costs based upon alleged breach of promissory note and unjust enrichment by its former employee Respondent Cooper. [read post]
15 Jan 2014, 2:24 pm
Broker dealers are required by the Financial Industry Regulatory Authority (FINRA) to sell private placements only to accredited investors that meet suitability standards. [read post]
15 Jan 2014, 2:22 pm
Just this past week, two brokerages units of Stifel Financial were ordered by the Financial Industry Regulatory Authority ("FINRA") to pay more than $1 million related to the sale of leveraged and inverse exchange-traded funds ("ETFs"). [read post]
15 Jan 2014, 10:26 am
In today's BrokeAndBroker Blog we see the lengths to which a stockbroker's ex went to jam him up; and, as if that bit of revenge weren't enough, there's also the lovely shot from FINRA that's a sour cherry on top.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… [read post]
15 Jan 2014, 8:22 am
AIG Financial Products Corp., No. 09-8285 (S.D.N.Y. [read post]
15 Jan 2014, 12:11 am
The global financial services industry is still reeling from the regulatory investigations surrounding the Libor scandal. [read post]
14 Jan 2014, 6:43 am
Faher (Faher) was suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Faher made unsuitable recommendations to her clients to invest in private placements. [read post]
13 Jan 2014, 2:50 pm
A total of 10,000 EB-5 visas are authorized to be issued each year, which could result in several billion dollars of financing annually. [read post]
13 Jan 2014, 2:50 pm
A total of 10,000 EB-5 visas are authorized to be issued each year, which could result in several billion dollars of financing annually. [read post]
13 Jan 2014, 8:18 am
An Easy EightIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, Claimant Lehman Brothers ultimately sought to recover up to $1,818,546.68 in compensatory damages based upon allegations of breach of contract attendant to the repayment of th... [read post]
13 Jan 2014, 2:54 am
If that doesn't whet your appetite, I'm not sure what a teaser is.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, Michelle Lee Kern submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Jan 2014, 2:37 am
In today's BrokeAndBroker Blog, we have the story of one particularly obstinate registered person -- who was previously warned about getting a client's authorization to transfer funds and didn't quite learn her lesson.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… [read post]
10 Jan 2014, 1:45 pm
Brown The Securities and Exchange Commission (the “SEC”) approved two new Financial Industry Regulatory Authority (“FINRA”) rules as part of FINRA’s ongoing rulebook consolidation process. [read post]
