Search for: "Financial Industry Regulatory Authority"
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11 Dec 2013, 7:03 am
In other circumstances, an investor may file a complaint with Financial Industry Regulatory Authority (FINRA). [read post]
10 Dec 2013, 6:36 am
Most securities claims must be brought in arbitration before the Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator. [read post]
10 Dec 2013, 6:11 am
Part II turns to a description of the legal and regulatory framework within which the NSWF is organized. [read post]
9 Dec 2013, 6:16 am
Yes, you can, under certain circumstances, accept such roles; but you better make sure you're up to snuff with both your firm's compliance rule and industry regulators' regulations.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 a... [read post]
9 Dec 2013, 3:26 am
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, Stuart A. [read post]
8 Dec 2013, 6:21 am
As the value of the UBS Funds has plummeted by 50-60% in value in a matter of months investor complaints filed with the Financial Industry Regulatory Authority Inc. [read post]
6 Dec 2013, 1:41 pm
The Financial industry Regulatory Authority (FINRA) suspened Lisnek in November alleging fraud associated with cash investments in exchange for REIT stocks. [read post]
6 Dec 2013, 12:27 pm
According to new s release, the Financial Industry Regulatory Authority (FINRA) ordered broker-dealer J.P Turner & Co to pay more than $700,00 in restitution to customers. [read post]
6 Dec 2013, 6:43 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Source Capital Group (Source Capital) registered representatives Kevin Cline (Cline), Robert Burr (Burr), Vincent Christopher (Christopher), and Thomas Gilleland (Gilleland). [read post]
5 Dec 2013, 5:41 am
The Financial Industry Regulatory Authority (FINRA) recently barred financial advisor William D. [read post]
4 Dec 2013, 10:43 am
The 2012 default gave rise to an investigation and complaint filed in 2013 by the Financial Industry Regulatory Authority (FINRA) against Mr. [read post]
4 Dec 2013, 9:07 am
In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically over the past twelve months. [read post]
3 Dec 2013, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Stephen Michael Brown (Brown) for failing to comply with FINRA’s requests for information concerning allegations that Brown engaged in the unlawful sale of securities. [read post]
1 Dec 2013, 9:31 pm
Earlier this fall he authored a groundbreaking report on youth employment issues in Ontario (download it here) for the Canadian Centre for Policy Alternatives' Ontario office. [read post]
1 Dec 2013, 10:05 am
Lord Sharman was the Liberal Democrat Spokesperson for Trade and Industry/Business and Regulatory Reform from 2001 to 2010. [read post]
28 Nov 2013, 6:00 am
Quebec’s Charbonneau commission into corruption in the construction industry has revealed numerous failings in the province’s regulatory regime, which the government is attempting to address with new laws. [read post]
27 Nov 2013, 6:19 am
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, Timothy William Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Nov 2013, 4:46 am
Unfortunately, this isn't gym glass, and the penalties for an infraction are far worse than ten push-ups.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, William Larry Hogue, Jr., submitted a Letter of Acceptance, Waiver and Consent… [read post]
26 Nov 2013, 1:43 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has barred 16 brokers from the industry through their High Risk Broker program established back in February 2013. [read post]
26 Nov 2013, 7:52 am
Brokerage firms are regulated by the Financial Industry Regulatory Authority (or FINRA). [read post]
