Search for: "Financial Industry Regulatory Authority"
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1 Aug 2012, 10:10 pm
A Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission alert warned investors that these products often come with low guarantees, confusing terms and, in some cases, can keep money tied up in the investment for up to a decade. [read post]
20 Jun 2014, 1:28 pm
Prior to Miller’s arrest, WTAE.com wrote that Investors Capital reported to the Financial Industry Regulatory Authority (FINRA) that the firm terminated Miller’s employment for “misappropriation of funds, borrowing money from investors, fraudulent investment activity” and “creating false documents. [read post]
27 Dec 2017, 11:17 am
According to reports, in February 2016, Financial Industry Regulatory Authority barred Chicago broker, George Johnson, for allegedly manipulating the stock price of IceWEB Inc. for personal gain. [read post]
24 Jun 2020, 1:00 pm
” The broker-dealer reportedly agreed to pay a $1.55 million civil penalty to resolve the SEC’s charges and separately agreed to pay $1.55 million to the Financial Industry Regulatory Authority (FINRA) to resolve parallel charges, according to the press announcement. [read post]
9 Oct 2017, 8:58 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
27 Aug 2008, 3:14 am
The article's author claims that T Bank is "the sole Dallas-Fort Worth bank so far this year to become the subject of a regulatory order from the Comptroller's Office. [read post]
23 Oct 2020, 9:53 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]
4 Dec 2013, 10:43 am
The 2012 default gave rise to an investigation and complaint filed in 2013 by the Financial Industry Regulatory Authority (FINRA) against Mr. [read post]
23 Jan 2020, 1:53 pm
FINRA & SEC Warnings about Cyber-ThreatsAt the Financial Industry Regulatory Authority (FINRA) cyber-security conference in New York, FINRA, the Securities and Exchange Commission (SEC), and the National Futures Association stated that cyber threats on numerous fronts, including but not limited to external phishing and ransom-ware assault and resentful ex-staffs and poor security control have persisted in brokerage firms.Salvator Montemarano, one of the… [read post]
26 Jul 2012, 9:30 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
28 Jun 2012, 9:47 pm
A June 21st announcement by the Financial Industry Regulatory Authority (FINRA) stated that the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
16 Mar 2021, 7:13 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]
4 Sep 2012, 9:30 pm
” According to securities fraud attorneys, Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
24 Jul 2012, 9:30 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold these private placements and, in some cases, may have done so inappropriately. [read post]
23 Jul 2019, 3:26 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes. [read post]
4 Mar 2009, 1:32 pm
(Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority, Inc., Washington, DC), The Honorable Michael A. [read post]
17 Nov 2010, 6:16 am
Reverse convertible notes were tied to a $500,000 fine levied by the Financial Industry Regulatory Authority (FINRA) against former Ferris, Baker Watts LLC, acquired by RBC Wealth Management. [read post]
26 Aug 2015, 6:28 am
Generally, the investor would bring an arbitration case with the Financial Industry Regulatory Authority (FINRA). [read post]
18 Jul 2017, 9:36 am
The Financial Industry Regulatory Authority’s arbitration award was beyond what the claimants initially sought. [read post]
23 Feb 2024, 11:04 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the FBI, and the U.S. [read post]
