Search for: "Financial Industry Regulatory Authority"
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13 May 2013, 3:07 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2012, public customers Claimants Kelly and Pinsent asserted claims including unsuitability, excessive commissions, and negligence. [read post]
12 May 2013, 9:30 pm
But, of course, pollution problems follow quickly on the heels of rapid industrialization, as China’s recent extreme air pollution numbers highlight. [read post]
9 May 2013, 8:56 am
On April 1, 2013, the U.K. embarked on the twin peaks model of financial regulation, with the Financial Conduct Authority regulating the securities industry and professionals and the Prudential Regulation Authority regulating the banking industry and financial institutions. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
8 May 2013, 10:58 am
According to a recent article in the Chicago Tribune, a number of investor have filed a claim with the Financial Industry Regulatory Authority (FINRA) against brokerage firm, B.C. [read post]
8 May 2013, 8:46 am
In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
7 May 2013, 6:04 am
Although many firms have implemented policies and procedures to track emails, the devil is often in the details, as this recent settlement proves.NEXT On LineFor 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, NEXT Financial Group, Inc., submitted a… [read post]
7 May 2013, 5:54 am
In a recent regulatory settlement, one stockbroker found himself backed into just such a regulatory corner.A Winter of DiscontentFor 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, Homer Daniel Winter III submitted a Letter of… [read post]
7 May 2013, 5:48 am
In the end, this case smacks more of a regulatory speed trap designed to generate fines than a compelling effort to educate the industry and protect the public -- which, after all, is the supposed mission of Wall Street's regulators.The Book of JobeFor 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… [read post]
7 May 2013, 2:56 am
The arbitrator's decision provides us with insight into how triers-of-fact weigh different considerations.Turnaround Is FairplayIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2012, registered person Claimant Fetterman sought the expungement from his Central Registration Depository record (“CRD”) of an arbitration previously filed by public customer Respondent Fowler: Karin… [read post]
6 May 2013, 9:48 am
There are lessons to be learned for those contemplating moving on to other pastures, greener or otherwise.Unfair CompetitionIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, Claimant U.S. [read post]
3 May 2013, 2:36 pm
Thus, the industry supports the Financial Competitive Act, H.R. 1341, authored by Rep. [read post]
3 May 2013, 12:04 pm
In addition to its authority to examine members of the debt collection industry who qualify as “larger participants,” the CFPB has authority to examine debt collection by entities it has authority to examine (such as large banks, payday and private student lenders, and mortgage servicers) and service providers to such entities. [read post]
3 May 2013, 8:17 am
She also is a widely published author and highly regarded speaker on these matters. [read post]
2 May 2013, 3:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant asserted causes of action including negligence, breaches of contract and fiduciary duty, fraud, conflict of interest, violations of securities rules and laws, and unsuitability in connection with his investment in Respondent BBVA’s proprietary fund Puerto Rico & Global Income Target Maturity Funds, Inc. [read post]
1 May 2013, 9:30 pm
The Act’s regulatory overhaul eliminated the Financial Services Authority (FSA), the U.K. [read post]
1 May 2013, 7:11 am
Schwab should honor its customers’ rights and end its shameful fight against the Financial Industry Regulatory Authority." [read post]
30 Apr 2013, 4:41 pm
Over the past year or so, a conventional wisdom has developed about the status of the legal job market. [read post]
30 Apr 2013, 9:34 am
For nearly two years, the Financial Industry Regulatory Authority (FINRA) has been working on revisions to Rule 2340 which would change how brokerage firms value per-share REITs on client account statements. [read post]
