Search for: "Financial Industry Regulatory Authority"
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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]
19 Aug 2012, 9:48 pm
According to securities arbitration lawyers, the increase in floating rate funds sales has caused the Financial Industry Regulatory Authority (FINRA) to pay more attention to these funds — specifically how they are marketed and sold. [read post]
16 Aug 2012, 10:09 pm
These private placements were then offered by broker-dealers registered with the Financial Industry Regulatory Authority. [read post]
16 Aug 2012, 2:24 pm
The Financial Industry Regulatory Authority's (“FINRA's”) new suitability mandates impose critical obligations. [read post]
16 Aug 2012, 12:55 pm
Various financial ties between physicians ? [read post]
16 Aug 2012, 6:07 am
“I needed income that I could count on and wasn’t risky,” said Block, who is seeking damages from his investment adviser in an arbitration case with the Financial Industry Regulatory Authority (FINRA). [read post]
16 Aug 2012, 5:40 am
A trader at Morgan Stanley Smith Barney blew past his $116 million trading limit to amass a $1.3 billion bet in 2009, Financial Industry Regulatory Authority records show, according to Bloomberg News. [read post]
15 Aug 2012, 9:57 pm
Certain broker-dealers registered with the Financial Industry Regulator Authority then sold the private placements. [read post]
15 Aug 2012, 11:32 am
Fixed wireless is a low-profile yet indispensable component of the nation’s communications infrastructure, serving a wide variety of entities and industries. [read post]
15 Aug 2012, 9:20 am
The CFPB, in conjunction with the Department of Education, just released a report examining the private student loan industry. [read post]
15 Aug 2012, 4:32 am
The regulatory regime set out in Part 2 concerns accessing the data, not gathering it: gathering is intended to be automatic and universal. [read post]
15 Aug 2012, 4:03 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
15 Aug 2012, 2:09 am
Private placements have been offered by Cypress Leasing, which were then offered and sold by certain broker-dealers registered with the Financial Industry Regulatory Authority. [read post]
14 Aug 2012, 12:23 pm
Milkie/Ferguson filed its broker/dealer withdrawal request with the Financial Industry Regulatory Authority (FINRA) last month. [read post]
14 Aug 2012, 5:46 am
Milkie/Ferguson filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. on July 26. [read post]
14 Aug 2012, 5:46 am
Milkie/Ferguson filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. on July 26. [read post]
14 Aug 2012, 5:46 am
Milkie/Ferguson filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. on July 26. [read post]
14 Aug 2012, 5:46 am
Milkie/Ferguson filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. on July 26. [read post]
12 Aug 2012, 9:30 pm
This private placement was then sold by broker-dealers registered with the Financial Industry Regulatory Authority. [read post]
11 Aug 2012, 9:34 am
The US hedge fund industry strongly supports the final EU Regulation on OTC derivative transactions, central counterparties and trade repositories. [read post]
