Search for: "Financial Industry Regulatory Authority"
Results 8361 - 8380
of 11,238
Sort by Relevance
|
Sort by Date
22 Sep 2013, 9:46 pm
Disqualifying events include criminal convictions in connection with sales of securities, certain SEC civil and administrative actions and certain other orders from financial service industry regulatory authorities. [read post]
22 Sep 2013, 3:46 pm
Disqualifying events include criminal convictions in connection with sales of securities, certain SEC civil and administrative actions and certain other orders from financial service industry regulatory authorities. [read post]
22 Sep 2013, 3:30 pm
Sorensen (Sorensen) has been barred by the Financial Industry Regulatory Authority (FINRA) after he failed to respond to the agency’s inquiries concerning an investigation concerning the possible misuse of customer funds in his management of limited partnership investment fund. [read post]
19 Sep 2013, 4:46 pm
According to a Letter of Acceptance, Waiver and Consent (case #2009017326901), G.Research Inc (formerly Gabelli & Company) agreed to a $1 million dollar fine with the Financial Industry Regulatory Authority (FINRA) to settle allegations of inadequate supervision of the formation, operation, marketing , and sales of private investment partnerships by G.Research registered representatives. [read post]
19 Sep 2013, 8:22 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, PNC Investments LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Sep 2013, 2:55 am
It is a sobering tale worth reading -- and make sure your parents and grandparents are aware of similar dangers of shuttling mortgage proceeds into insurance or stocks.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, Maurice Joseph Chelliah… [read post]
18 Sep 2013, 11:26 am
FINRA (Financial Industry Regulatory Authority, Inc.), the largest independent regulator for all securities firms doing business in the United States, has published guidance for broker-dealers in performing due diligence on EB-5 securities offerings or "private placements." [read post]
18 Sep 2013, 8:58 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel ruled that Citigroup Inc. [read post]
18 Sep 2013, 7:45 am
Here is yet another puzzling tale of a temptation not resisted.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, Steven Simmons submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Sep 2013, 7:17 am
This is an update of “Former Wells Fargo Broker Rips Off Elderly Widow” (BrokeAndBroker.com, March 12, 2013)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, Adorean Boleancu submitted a Letter of Acceptance, Waiver and Consent (“AWC”),… [read post]
18 Sep 2013, 1:51 am
In an environment where there already is a growing perception of increasing regulatory risk, the U.S. authorities’ vigorous assertion of regulatory authority outside the U.S. represents a particularly hazardous part. [read post]
17 Sep 2013, 3:24 pm
Brokers that sell REITs have a fiduciary duty to make sure the investment is suitable for every individual client and must take into account the clients age, risk tolerance, financial needs, and investment objections to name a few of the suitability requirements enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Sep 2013, 10:08 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 21, 2010 and as amended thereafter, Claimants alleged breach of fiduciary duty, negligence, negligent supervision, fraud by omission, misrepresentation and breach of contract in connection with their efforts to recover damages attendant to securities investments including two promissory notes used to finance real estate developments known as Moorings at… [read post]
16 Sep 2013, 3:21 pm
She also is a widely published author and highly regarded speaker on th [read post]
16 Sep 2013, 11:07 am
From the BNA Labor Reports: “A federal district court in New York Sept. 11 declined to compel financial solutions analysts pursuing a class and collective overtime action against brokerage firm Merrill Lynch to individually arbitrate their claims under the procedures of the Financial Industry Regulatory Authority (Zeltser v. [read post]
16 Sep 2013, 5:08 am
It is a sobering tale worth reading -- and make sure your parents and grandparents are aware of similar dangers of shuttling mortgage proceeds into insurance or stocks.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, Maurice Joseph Chelliah… [read post]
16 Sep 2013, 4:21 am
Now, on top of all the nonsense, we have a Wall Street regulator blowing the whistle and walking off a five-yard penalty.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, Charles M. [read post]
15 Sep 2013, 11:04 am
The Financial Industry Regulatory Authority (FINRA) has barred Ralph Saviano (Saviano) from the securities industry after the broker failed to respond to FINRA’s requests for information and an interview concerning unreported tax liens, a civil judgment, and a customer complaint involving the misuse of funds. [read post]
15 Sep 2013, 5:30 am
http://t.co/4vE31m4H8m -> Nicki Minaj Hit With "Starships" Copyright Infringement Suit http://t.co/DafJ2Rrskl -> RIAA says in copyright suit that Sirius XM doesn't pay for classic hits http://t.co/W3EW6IzJTl -> Exploring Google Search's tenuous relationship with pirated content http://t.co/koONRMjoxw -> Become King of CASL: Preparing for Canada's Anti-Spam Legislation http://t.co/rNwdctxOLh via @youtube -> Do You Want To save the music industry? [read post]
13 Sep 2013, 2:27 pm
FSAs were required to register with the Financial Industry Regulatory Authority (“FINRA”) and sign a Uniform Application for Securities Industry Registration or Transfer, which is referred to as a “Form U-4. [read post]
