Search for: "Financial Industry Regulatory Authority"
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12 Feb 2018, 6:59 am
A broker must do his due diligence on every security he recommends or sell, and, if he does not, his brokerage firm may be held liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA). [read post]
16 Aug 2012, 6:07 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). [read post]
23 Jul 2018, 10:39 pm
Infinex also operates in other states and, according to the Financial Industry Regulatory Authority (“FINRA”), is licensed to operate in 53 U.S. states and territories. [read post]
7 Oct 2013, 5:00 am
When companies file for bankruptcy, the Financial Industry Regulatory Authority typically adds the letter Q to the existing ticker. [read post]
2 Apr 2019, 10:45 am
During your time at the Institute, you will hear from the SEC’s experts on a wide variety of subject matters, and you will also receive presentations from staff at the World Bank, the Commodity Futures Trading Commission, and the Financial Industry Regulatory Authority. [read post]
1 Jun 2010, 1:48 pm
Peak Securities lost its registration with the Financial Industry Regulatory Authority Inc. in November. [read post]
16 Jul 2018, 11:12 am
Maddren has been subject to two tax liens, according to his online, BrokerCheck report with the Financial Industry Regulatory Authority (FINRA). [read post]
4 May 2009, 7:27 am
Petitioner claimed that judicial relief was the only means by which such discovery could be obtained, as the rules and procedures governing the contemplated arbitration (the Financial Industry Regulatory Authority’s (“FINRA”) Code of Arbitration Procedure) did not provide a mechanism for pre-arbitration discovery. [read post]
26 Sep 2017, 11:34 am
With a workforce of about 4,600 staff in Washington and across our 11 regional offices, the SEC oversees, among other things (1) approximately $72 trillion in securities trading annually on U.S. equity markets; (2) the disclosures of over 8,100 public companies, of which 4,300 are exchange listed; and (3) the activities of over 26,000 registered entities, including investment advisers, broker-dealers, transfer agents, securities exchanges, clearing agencies, mutual funds, exchange traded funds, the… [read post]
12 Feb 2018, 9:06 am
The case will proceed to arbitration with the Financial Industry Regulatory Authority (FINRA), possibly as early as next week. [read post]
26 Jun 2014, 12:36 pm
Brokers are required by the Financial Industry Regulatory Authority (FINRA) to recommend investments that are suitable for their clients. [read post]
28 Mar 2020, 7:05 am
This post is based on Chairman Clayton’s recent public statement at an Open Meeting of the Financial Stability Oversight Council. [read post]
18 Jul 2012, 9:11 am
The question was whether the arbitrations should take place under the Financial Industry Regulatory Authority, Inc. [read post]
15 Apr 2008, 7:42 am
Last month, Astar, a privately held cargo airline, filed a Financial Industry Regulatory Authority arbitration claim against Merrill. [read post]
23 Jun 2014, 2:48 pm
According to the Financial Industry Regulatory Authority (FINRA), both Grainer and Cicolani worked with Prime Solutions Securities beginning in 2010 through 2014 when they were discharged from the firm. [read post]
21 Jun 2011, 2:58 pm
Last month, the Financial Industry Regulatory Authority (FINRA) accused the company of overcharging customers regarding sales of municipal bonds and mortgage securities. [read post]
6 Jan 2014, 2:31 pm
According to the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
27 Jul 2011, 2:43 am
Nor does creating statutory preemptions that foreclose certain private causes of action and conferring standing only upon the regulators and prosecutors make sense in view of the limitations of resources of government and regulatory authorities. [read post]
31 Aug 2012, 12:43 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) Office of Dispute Resolution designated Montpelier, Vermont as a hearing situs for FINRA arbitration claims filed by Vermont residents, thereby obviating the necessity that Vermont residents have their claims heard in otherwise prior hearing locates such as Albany, New York, Boston, Massachusetts, and Hartford, Connecticut. [read post]
30 Mar 2017, 1:06 pm
This week she was barred by the Financial Industry Regulatory Authority (FINRA). [read post]
