Search for: "Financial Industry Regulatory Authority"
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27 Nov 2017, 7:54 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
23 May 2013, 11:15 am
Paid Rival Links would benefit Google financially. [read post]
6 Feb 2017, 9:00 am
Simply selling gas to “a limited group of industrial customers” wasn’t good enough. [read post]
24 Jun 2022, 9:58 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
24 Jun 2022, 7:23 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
12 Apr 2017, 9:35 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Health Care,” “Labor & Employment,” “Tax: Erisa & Employee Benefits” and… [read post]
7 Nov 2010, 9:57 am
That settlement led to predictions, both dire and hopeful, that the trial bar would use its newfound financial clout to go after a host of other industries, transforming the face of American capitalism.Instead, the plaintiffs' bar has seen setbacks in Congress, state legislatures, the courts and most importantly, public opinion. [read post]
15 Jul 2012, 12:25 pm
The Financial Industry Regulatory Authority ("FINRA") recently fined both Coughlin and Harrison $50,000 for their conduct and banned each from the securities industry for two years. [read post]
9 Apr 2019, 8:09 am
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
25 Jul 2012, 9:49 pm
Financial Industry Regulatory Authority (FINRA) 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]
5 Feb 2010, 6:25 am
To decide all the disputes, the Financial Industry Regulatory Authority has been forced to call in hundreds of extra arbitrators. [read post]
16 Dec 2018, 8:16 am
Second, many victims believe that investor recovery is conducted by regulators and if a regulator such as the Securities and Exchange Commission (SEC) or Financial Industry Regulatory Authority (FINRA) take action investors are entitled to those funds. [read post]
24 May 2012, 9:47 pm
The Financial Industry Regulatory Authority has started to increase its efforts in regulating inverse ETFs and ETNs, hoping to ensure that unsophisticated investors are not being sold these complicated products. [read post]
9 Jan 2019, 10:28 am
According to the Financial Industry Regulatory Authority Inc. [read post]
8 Jul 2019, 10:25 am
On December 30, 2017, Lax & Neville LLP commenced a Financial Industry Regulatory Authority (“FINRA”) arbitration claim on the Receiver’s behalf against Interactive Brokers and Kevin Michael Fischer, who is the head of Interactive Brokers LLC’s block trading desk. [read post]
27 Dec 2017, 7:37 am
The Financial Industry Regulatory Authority (FINRA) Rule 2020 also prohibits members from effecting “any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance. [read post]
6 Nov 2019, 7:36 am
Since the introduction of the new breach reporting regime, the DPC’s Breach Assessment Unit has undertaken an analysis of breach notifications received from areas within the public and private sector, including those notified by: the financial sector; the insurance sector; the telecommunications industry; the healthcare industry; and law enforcement. [read post]
7 Jun 2012, 9:55 pm
A Financial Industry Regulatory Authority (FINRA) announcement dated June 4, 2012, stated that a hearing panel ruled in favor of claimants against Brookstone Securities of Lakeland, Florida, along with one of its brokers, Christopher Kline, and its owner and CEO, Antony Tuberville. [read post]
15 Sep 2010, 12:40 pm
McLaren, Professor of Law, University of Western Ontario, London, Ontario, Canada, Counsel to McKenzie Lake Lawyers LLP, and Member, Court of Arbitration for Sport, Lausanne, Switzerland William Miller (L'96), Assistant Professor, Health, Exercise Science & Sport Management, University of Wisconsin - Parkside, Kenosha, WIMatthew Mitten, Professor of Law and Director of the National Sports Law Institute and the LL.M. in Sports Law program for foreign lawyers, Marquette University Law… [read post]
5 Feb 2015, 11:38 am
Brokers with many customer complaints from failed products often have few options for cleaning up their professional record, which is publicly available through the Financial Industry Regulatory Authority’s (FINRA’s) CRD or Brokercheck system. [read post]
