Search for: "Financial Industry Regulatory Authority"
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31 Aug 2012, 12:43 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) Office of Dispute Resolution designated Montpelier, Vermont as a hearing situs for FINRA arbitration claims filed by Vermont residents, thereby obviating the necessity that Vermont residents have their claims heard in otherwise prior hearing locates such as Albany, New York, Boston, Massachusetts, and Hartford, Connecticut. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
30 Aug 2012, 9:00 pm
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. [read post]
30 Aug 2012, 9:00 pm
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. [read post]
30 Aug 2012, 6:16 am
Workman, Hamel, Minn., for engaging in outside business activities for compensation and failing to provide prompt written notice to his member firm; for recommending that his clients purchase unsuitable private placements; and for failing to report his suspension by the Financial Industry Regulatory Authority within 10 days. [read post]
30 Aug 2012, 6:16 am
Workman, Hamel, Minn., for engaging in outside business activities for compensation and failing to provide prompt written notice to his member firm; for recommending that his clients purchase unsuitable private placements; and for failing to report his suspension by the Financial Industry Regulatory Authority within 10 days. [read post]
29 Aug 2012, 11:50 am
The goal of FINRA (the Financial Industry Regulatory Authority) is to “strengthen, streamline and clarify” those veryimportant investor protection rules. [read post]
28 Aug 2012, 1:34 pm
We learn from this week’s DealFlow Report that the parent company of Rodman & Renshaw, now called Direct Markets Holdings, ended its agreement to buy key assets of the OTC Bulletin Board from the Financial Industry Regulatory Authority (FINRA). [read post]
28 Aug 2012, 7:49 am
FINRA (the Financial Industry Regulatory Authority) has issued a warning to financial services firms that they need to heighten their supervision of and compliance procedures associated with complex products. [read post]
28 Aug 2012, 7:16 am
The Financial Industry Regulatory Authority (FINRA) has issued several investor alerts on non-traded REITs, calling attention to the unique risks, features and fees of the products. [read post]
28 Aug 2012, 4:06 am
In a Financial Industry Regulatory Authority (... [read post]
27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
26 Aug 2012, 10:05 am
The Financial Industry Regulatory Authority (“FINRA”) has provided helpful insight to consumers regarding understanding brokerage statements and the importance of the information contained in those statements. [read post]
23 Aug 2012, 9:50 pm
Following settlements with the Financial Industry Regulatory Authority (FINRA), stock fraud lawyers say Charles Schwab and Fidelity investors could recover losses through securities arbitration. [read post]
22 Aug 2012, 10:03 pm
Investors can still recover losses through Financial Industry Regulatory Authority arbitration. [read post]
22 Aug 2012, 8:55 am
The Financial Industry Regulatory Authority ("FINRA") has issued Investor Alert: Public Non-Traded REITs - Perform a Careful Review Before Investing. [read post]
21 Aug 2012, 9:51 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]
20 Aug 2012, 11:27 am
If you invested with James Ryan Lanier and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration please call the firm’s Chicago office at 312-238-9650. [read post]
