Search for: "Financial Industry Regulatory Authority"
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14 Oct 2013, 2:32 pm
The Financial Industry Regulatory Authority provides the largest forum in the US to resolve investor disputes against their stockbroker. [read post]
14 Oct 2013, 10:11 am
Every so often, however, the customer gets a little something and the stockbroker gets a little something and, hey, sometimes everyone wins, everyone loses, everyone is unhappy, and everyone is happy.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 21, 2012, public customer Claimant Giusto asserted, among other causes of action, breaches of contract and fiduciary duty, and fraud in connection with… [read post]
14 Oct 2013, 2:07 am
The likeliest time for a D&O insurer to try to add a regulatory exclusion is when a financially troubled bank seeks to renew its insurance. [read post]
12 Oct 2013, 11:46 am
The Financial Industry Regulatory Authority (FINRA) fined brokerage firm Financial West Investment Group, Inc. d/b/a Financial West Group (Financial West Group) over allegations between March 2009 and May 2010, the firm did not provide accurate variable annuity disclosures to customers concerning certain fees and charges. [read post]
11 Oct 2013, 3:37 am
As reported by BrokeAndBroker, the consequences of late or non-disclosure of liens and judgments can be serious -- if not devastating to a career on Wall Street.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, Irfan Ahmad Nagi submitted a Letter of… [read post]
10 Oct 2013, 9:58 am
According to the Financial Industry Regulatory Authority (FINRA), securities purchased on margin averaged more than $320 billion per month in 2012. [read post]
10 Oct 2013, 4:00 am
The Ontario Power Authority The ERA created a new entity called the Ontario Power Authority (the “OPA”). [read post]
9 Oct 2013, 7:00 am
The Financial Industry Regulatory Authority (FINRA) suspended broker Anthony Mediate (Mediate) for 60 days concerning allegations of excessive trading (churning) and unauthorized trading. [read post]
8 Oct 2013, 1:50 pm
The service provider, its team, processes and procedures should have a history and currently be financially and operationally sound with significant experience and ability in the area. [read post]
8 Oct 2013, 5:14 am
In this interesting case, we have two victims: the customer and the stockbroker; however, in the end, it seems to turn out relatively well for both of them.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2012, public customer Claimant Hardesty, who represented himself pro se, asserted breach of fiduciary duty, misrepresentations/non-disclosures,errors/charges, and negligence in connection with some… [read post]
7 Oct 2013, 4:34 pm
The Financial Industry Regulatory Authority (FINRA) has barred Chad David Kelly (Kelly) concerning allegations of churning (excessive trading) and unauthorized trading. [read post]
7 Oct 2013, 2:31 pm
If so, The White Law Group may be able to help you through a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker dealer that sold you the investment. [read post]
7 Oct 2013, 6:57 am
Today's BrokeAndBroker Blog pounds one more nail into that coffin of uncertainty.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, Philippe R. [read post]
7 Oct 2013, 6:24 am
Here is yet another indication that Wall Street may not be the highly trained and alert workplace you thought it was.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, Shawn Michael Wyatt submitted a Letter of Acceptance, Waiver and Consent… [read post]
7 Oct 2013, 5:26 am
This is a true story about modern-day reality.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 adjudicatio... [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]
7 Oct 2013, 3:45 am
If you don't and get caught, bad is going to get a whole helluva lot worse.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 re... [read post]
6 Oct 2013, 1:18 pm
Include a cover letter and a copy of the author’s curriculum vitae. [read post]
4 Oct 2013, 3:24 pm
The Financial Industry Regulatory Authority (“FINRA”) is reportedly considering whether to require brokerage firms to purchase and maintain errors and omissions insurance policies that would be used to pay investors following arbitration. [read post]
2 Oct 2013, 3:45 pm
The Financial Industry Regulatory Authority (FINRA) recently announced various charges against brokerage firm John Carris Investments. [read post]
