Search for: "Financial Industry Regulatory Authority"
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6 Nov 2015, 2:40 pm
The Financial Industry Regulatory Authority (FINRA) expelled Halcyon Cabot Partners in connection with the scheme. [read post]
15 Oct 2009, 2:56 pm
Regardless of the outcome of the SEC's investigation, Schwab YieldPlus investors are under a tight deadline to decide whether to stay in the class-action lawsuit or "opt out" if they wish to file an individual arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
18 Aug 2010, 10:39 am
That was demonstrated by an August 2010 Financial Industry Regulatory Authority (FINRA) award exceeding $1.8 million to a MAT/ASTA investor. [read post]
9 Dec 2007, 6:31 am
The RSP is part of a coalition called Retirement Made Simpler which includes the American Association of Retired People (AARP) and the Financial Industry Regulatory Authority (FINRA). [read post]
24 May 2012, 6:42 am
Last week, Financial Industry Regulatory Authority Inc. arbitrator Alvin Green apparently ordered the firm to pay the two individuals $24,450 after they return their shares of Apple REIT Nine to the firm. [read post]
29 Jul 2012, 9:30 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers then offered and sold these private placements. [read post]
21 Oct 2008, 3:40 pm
Blum & Silver, LLP and Sallah & Cox, LLC are pursuing arbitration claims before the Financial Industry Regulatory Authority ("FINRA") on behalf of aggrieved investors, including claims of misrepresentation, omissions of material facts, unsuitability, and negligence. [read post]
11 Jan 2012, 1:45 pm
Attorneys, as well as stock brokers and other registered representatives under Financial Industry Regulatory Authority (FINRA), should be aware that special rules apply to their non-compete agreements in New York. [read post]
10 May 2019, 9:01 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]
5 May 2008, 1:53 pm
He did not tell the Financial Industry Regulatory Authority or WFG Investment that UNCI Inc. existed. [read post]
10 Dec 2013, 6:36 am
Most securities claims must be brought in arbitration before the Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator. [read post]
13 Oct 2020, 6:21 am
Filing a Complaint against your Brokerage Firm 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]
19 Feb 2009, 2:07 pm
Warin has represented Schapiro as well as the Financial Industry Regulatory Authority, the broker-dealer watchdog Schapiro used to lead. [read post]
30 Jan 2012, 9:43 am
Kahn, who is trained as a CPA, also serves as an arbitrator in securities disputes subject to Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
16 Jan 2014, 1:48 pm
According to the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
7 Jun 2021, 8:26 am
Broker-dealers are regulated by and required to be registered with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Oct 2018, 3:08 pm
Following the JSR, steps were taken to improve regulators’ access to information on Treasury market activity, as detailed in a previous Liberty Street Economics post, with Financial Industry Regulatory Authority (FINRA) members beginning to submit data on cash market transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE) on July 10, 2017. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
5 Sep 2012, 10:13 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]
