Search for: "Financial Industry Regulatory Authority"
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30 Jan 2018, 8:07 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
3 Mar 2020, 11:58 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]
9 Jul 2020, 6:40 am
If this happens, clients can sue their broker by filing an arbitration claim within the dispute resolution forum of the Financial Industry Regulatory Authority (FINRA) – the only forum for retail investors to sue brokers and brokerage firms. [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]
8 Dec 2013, 6:21 am
As the value of the UBS Funds has plummeted by 50-60% in value in a matter of months investor complaints filed with the Financial Industry Regulatory Authority Inc. [read post]
11 Dec 2019, 10:11 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]
6 Jan 2014, 6:14 pm
According to the Financial Industry Regulatory Authority, Hall was a registered broker with AXA Advisors from 01/2007 – 01/2011, and with The O.N. [read post]
4 Jun 2012, 6:00 am
On Wednesday the GAO released its report, entitled Opportunities Exist to Improve SEC’s Oversight of the Financial Industry Regulatory Authority, which examines, among other things, how the Commission oversees FINRA rule proposals and the effectiveness of FINRA’s rules and how the Commission plans to enhance its oversight of FINRA. [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]
17 Dec 2014, 8:00 am
He also thanked the Financial Industry Regulatory Authority for its assistance in the investigation. [read post]
24 Mar 2010, 5:22 pm
Employees were far more effective in identifying fraud than the SEC--the government agency responsible for regulating the securities industry. [read post]
6 Apr 2023, 3:58 am
From my vantage point, the foundation of which was largely informed by my time at FINRA (the Financial Industry Regulatory Authority), most of the recent SEC enforcement actions have centered around fraud schemes and “worst practices” common to private and public ventures and capital markets. [read post]
19 May 2014, 10:31 pm
Briefly, Horizon 2020 is described as a financial instrument aimed at creating a single market for knowledge, research and innovation, where the private and public sectors will match know-how and investments, particularly in the sign of digitization. [read post]
29 Jun 2023, 6:08 am
For one, in many countries in Africa, there is limited access to courts for interpretation in copyright cases due to limited financial and other resources. [read post]
14 Sep 2023, 4:24 am
Central to his thesis is the notion that regulatory half measures may be necessary but are not sufficient to adequately control the deployment of AI. [read post]
21 Nov 2010, 10:39 pm
The criminal and civil probes, which authorities say could eclipse the impact on the financial industry of any previous such investigation, are examining whether multiple insider-trading rings reaped illegal profits totaling tens of millions of dollars, the people say. [read post]
23 Mar 2017, 1:59 pm
These usually were meant to protect sensitive industries, but could also be used to protect national development schemes. [read post]
9 Nov 2023, 1:48 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
15 Jun 2016, 8:08 am
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Department of Health and Human Services Office of Inspector General, and the Financial Industry Regulatory Authority. [read post]
5 Apr 2021, 9:24 am
The report discussed instances in which arbitrations administered by the Financial Industry Regulatory Authority “specifically enforced servicemembers’ rights under USERRA. [read post]
