Search for: "Financial Industry Regulatory Authority"
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19 May 2022, 9:03 am
Recovery of Investment Losses through FINRA Arbitration Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment. [read post]
28 Mar 2019, 7:18 am
While 529 savings plans are state-sponsored investments, they are still managed by private brokerage firms; and, in a recent News Release, the Financial Industry Regulatory Authority (FINRA) publicly voiced its concern that a lack of oversight may be putting families at risk for fraudulent losses: “[F]ees and expenses [for 529 savings plans] vary widely from plan to plan. [read post]
27 Feb 2019, 9:02 am
” The Financial Industry Regulatory Authority (FINRA) requires all registered brokerage firms to arbitrate investor claims, and arbitration provides a streamlined and cost-effective venue for individual investors to recover their fraudulent losses from YES, iron condor and CYES investments. [read post]
4 Nov 2017, 9:50 am
In May 2016, the Financial Industry Regulatory Authority (FINRA) suspended broker Frank Capuano who was registered with Royal Alliance Associates in Holyoke, MA. [read post]
14 May 2019, 1:31 pm
It also is under investigation by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, and the Federal Bureau of Investigation (FBI). [read post]
5 Oct 2010, 10:26 am
Maddox Hargett & Caruso P.C. continues to file arbitration claims with the Financial Industry Regulatory Authority (FINRA) on behalf of investors who suffered investment losses in Medical Capital. [read post]
17 Sep 2021, 1:02 pm
Were under investigation by the authorities for violating Chinese law. [read post]
11 Jul 2008, 7:39 pm
The SEC and Financial Industry Regulatory Authority are also investigating the sales practices and disclosures firms made to investors with respect to auction-rate securities. [read post]
11 Jan 2012, 6:00 am
” The Financial Industry Regulatory Authority (otherwise known as “FINRA”) is the product of a 2007 merger between the NYSE’s former enforcement arm and the National Association of Securities Dealers (NASD). [read post]
21 Oct 2011, 2:39 pm
Oct. 12, 2011), the plaintiffs were financial advisors whose employment agreements required arbitration of disputes before the Financial Industry Regulatory Authority ("FINRA"). [read post]
6 Mar 2020, 9:52 am
Recovery of Investment Losses Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
13 Jun 2019, 9:11 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
16 Jun 2020, 9:11 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
11 Sep 2018, 8:23 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
1 Jun 2009, 9:10 pm
Last month, the Financial Industry Regulatory Authority announced final settlements reached with NatCity Investments Inc. of Cleveland (a $300,000 fine), M & T Securities Inc. of Buffalo (a $200,000 fine), M & I Financial Advisors Inc. of Milwaukee (a $150,000 fine), and Janney Montgomery Scott LLC of Philadelphia (a $200,00 fine). [read post]
19 Feb 2010, 12:28 pm
Increased Regulation and Oversight of Variable Annuities Recently, the Financial Industry Regulatory Authority (FINRA) adopted new rules governing broker recommendations to purchase and exchange of variable annuities. [read post]
23 Mar 2020, 9:27 am
Unfortunately for investors it appears that many financial advisors/brokerage firms that sold non-traded REITs such as Hines Global REIT, may have understated or misrepresented the Recovery of Investment Losses Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
12 Apr 2019, 11:07 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment According to the Financial Industry Regulatory Authority (FINRA) on April 11, 2019, the regulator has barred former financial advisor Gary A. [read post]
2 Sep 2011, 1:04 pm
The author of this blog is Douglas McNabb. [read post]
26 Mar 2019, 7:12 am
Aside from the FBI, GPB Capital Holdings is already under investigation by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New Jersey Bureau of Securities, and Massachusetts Secretary of the Commonwealth William Galvin, who is investigating more than 60 brokerage firms that sold GPB Capital Holdings-related private placements to investors. [read post]
