Search for: "Financial Industry Regulatory Authority"
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3 Jul 2013, 2:31 pm
Broker-dealers are required by the Financial Industry Regulatory Authority (FINRA) to take into consideration a clients age, net worth and risk tolerance when making investment recommendations. [read post]
2 Jul 2013, 3:01 pm
On June 25, 2013, the Financial Industry Regulatory Authority (FINRA) agreed to a Letter of Acceptance, Waiver and Consent in which Dennis F. [read post]
2 Jul 2013, 2:58 pm
The Financial Industry Regulatory Authority (FINRA) allege that during the fifteen month period that the customer maintained the IRA account with Mediate, the customer incurred a net out of pocket loss of approximately $55,000. [read post]
2 Jul 2013, 8:59 am
Securities industry experience also a plus. [read post]
2 Jul 2013, 3:47 am
Consider this recent FINRA case as just another example of the challenging nature of modern-day morality.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, John Rom submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
1 Jul 2013, 1:04 pm
” Brokers that create a false impression of an investment or mislead their clients may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Jul 2013, 2:41 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimants Saunders asserted fraudulent inducement, negligent misrepresentations, and breach of fiduciary duty in connection with alleged recommendations by the respondents concerning the creation of an employer-sponsored welfare benefit plan under §419 of the Internal Revenue Code. [read post]
28 Jun 2013, 6:14 am
The failure to provide complete subsidies for prescription-drug coverage will indirectly continue to have an adverse financial impact on soaring workers' compensation costs. [read post]
27 Jun 2013, 9:55 am
According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and ordered to pay more than $353,000 in restitution to customers for charging excessive markups and markdowns in fraudulent corporate bond transactions. [read post]
27 Jun 2013, 9:06 am
Over the years, "BrokeAndBroker" readers have asked me to explain the nuances involved in entering into Acceptance, Waiver, and Consent settlements ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
27 Jun 2013, 8:20 am
After two unsuccessful attempts to implement consolidated supervisory rules, the Financial Industry Regulatory Authority, Inc. [read post]
26 Jun 2013, 7:32 pm
It is argued that the securities regulatory framework in China is capitalist in nature, not Chinese or socialist, and if it is Chinese, it is the lack of comprehensive and transparent regulation and, hence, accountability. [read post]
25 Jun 2013, 10:02 pm
Decreased FSIS inspections will disrupt industry production. [read post]
24 Jun 2013, 7:26 am
In addition, Kelly was a employed by brokerage firms that were registered with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jun 2013, 5:54 am
Financial Industry Regulatory Authority (FINRA) posted to its website a targeted examination letter that it has sent to members requesting information on the use of social media. [read post]
21 Jun 2013, 7:17 am
However, some investors may be able to recovery their losses by filing a claim with the Financial Industry Regulatory Authority (FINRA) against the brokerage firm that sold them the investment. [read post]
20 Jun 2013, 5:53 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, David Albert Urovsky submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jun 2013, 8:03 pm
This has implications both for the interactions between public and private regulatory systems but also to the evolution of connections between global and domestic regulatory regimes. [read post]
18 Jun 2013, 8:30 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2012, public customer Kiernan representing himself pro se alleged that Respondent Merrill Lynch had made an execution price error and breached its fiduciary duty in connection with an unspecified Facebook stock transaction. [read post]
17 Jun 2013, 10:45 am
And don't miss the new online video episode of "Side Bar With Bill Singer" at the end of this article.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2011 and as amended thereafter, public customer Albert Haynesworth III alleged, among other causes, promissory estoppel, breaches of contract and fiduciary duty, and negligence in connection with respondents alleged failure to secure adequate… [read post]
