Search for: "Financial Industry Regulatory Authority"
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30 Apr 2013, 8:28 am
This BrokeAndBroker Blog offers an interesting comparison of two similar Financial Industry Regulatory Authority ("FINRA") intra-industry arbitrations involving the same Claimant/Employer Lehman Brothers seeking collection of promissory notes against former employees. [read post]
29 Apr 2013, 6:33 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, Akber Syed submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
29 Apr 2013, 6:33 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2011, and as amended thereafter, Claimant Wells Fargo Advisors, LLC asserted breach of contract; unjust enrichment; conversion; andbreach of fiduciary dutyin connection with Respondent Farr’s employment. [read post]
29 Apr 2013, 4:11 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2011, Claimant UBS asserted : breach of contract; common count for money lent; and common count for account stated, in connection with the firm’s effort to compel repayment of five promissory notes executed with former-employee Respondent Yrizarry, around April 30, August 9, and October 29, 2010; and January 13, and April 30, 2011. [read post]
25 Apr 2013, 11:03 am
If you suffered losses as a result of your dealings with Winterrowd you may be able to recovery your investment losses by filing a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2013, 6:19 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, Alfred P. [read post]
25 Apr 2013, 6:14 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, Michael J. [read post]
24 Apr 2013, 11:22 am
Brokerage firms that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
23 Apr 2013, 9:22 am
Last week, the Financial Industry Regulatory Authority (FINRA) Board approved a measure that may make it easier for investors to select arbitrators in a dispute against a securities brokerage. [read post]
22 Apr 2013, 9:52 am
Thompson is under investigation by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to produce a “privileged log” requested by FINRA. [read post]
22 Apr 2013, 4:27 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, Earl William Fay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Apr 2013, 1:13 pm
Consolidation would decrease the complexity of securing and overseeing the waste located at reactor sites around the nation and would allow DOE to begin to address the taxpayer financial liabilities stemming from industry lawsuits. [read post]
7 Apr 2013, 7:04 am
This was because the usual rate paid to parent companies to recognize the company’s goodwill as well as patents and know-how (especially in industries focused on innovation) was between 5% and 8% and Unilever originally used to pay only 3.5%, which it had recently increased to 8%. [read post]
6 Apr 2013, 6:11 pm
In this way, policy coherence is enhanced among public and private actors as they develop standards and norms that guide both regulatory activity and specific approaches to business conduct. [read post]
5 Apr 2013, 1:09 pm
,you may be able to recovery your losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. [read post]
4 Apr 2013, 6:48 pm
The D-F Protocol is the first of such protocols, and it facilitates industry compliance with seven final rulemakings. [read post]
2 Apr 2013, 6:21 am
Nearly one hundred and fifty years before the creation of federal and state securities authorities, the financial industry established its own self-regulatory organizations. [read post]
27 Mar 2013, 1:43 pm
Best practice is for the regional center to oversee or author the business plan and offering documents. [read post]
27 Mar 2013, 1:43 pm
Best practice is for the regional center to oversee or author the business plan and offering documents. [read post]
27 Mar 2013, 9:14 am
Cape Wind's PPAs account for 77.5% of its projected output.Cape Wind Associates has designated Barclays to provide financial advisory services to Cape Wind. [read post]
