Search for: "Financial Industry Regulatory Authority"
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18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
17 Jul 2012, 10:24 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]
17 Jul 2012, 3:55 pm
From its inception, advocates of federalism focused on the danger of using national law to insulate national banks from state law, because financial elites would have an advantage in controlling the federal regulatory process. [read post]
17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
17 Jul 2012, 2:14 pm
A new Financial Industry Regulatory Authority (FINRA) rule (Rule 2111) significantly broadens stockbroker duties owed to customers. [read post]
17 Jul 2012, 10:07 am
Former Morgan Keegan broker Alejandro Rotundo was awarded $500,000 by a Financial Industry Regulatory Authority ("FINRA") arbitration panel on his counterclaim for defamation against his former firm Morgan Keegan. [read post]
17 Jul 2012, 7:22 am
The CFPB’s supervision, to begin this September, is the first time a government regulatory authority will be able to access all the information necessary to see what is going on inside the big credit reporting companies. [read post]
17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
16 Jul 2012, 11:49 am
Over the past 5 years, there have been four thousand to seven thousand arbitrations filed per year with the Financial Industry Regulatory Authority ("FINRA"). [read post]
16 Jul 2012, 11:49 am
Over the past 5 years, there have been four thousand to seven thousand arbitrations filed per year with the Financial Industry Regulatory Authority ("FINRA"). [read post]
15 Jul 2012, 9:47 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]
15 Jul 2012, 2:20 pm
Could it be because the OCC tends to be a darling of the financial industry, rather than an agency that restrains it? [read post]
15 Jul 2012, 12:25 pm
The Financial Industry Regulatory Authority ("FINRA") recently fined both Coughlin and Harrison $50,000 for their conduct and banned each from the securities industry for two years. [read post]
15 Jul 2012, 10:58 am
However, the staff noted areas in IFRS that are still underdeveloped, such as accounting for extractive industries, insurance, and rate-regulated industries. [read post]
14 Jul 2012, 5:43 pm
Court of Appeals for the Second Circuit is allowing a $20.5M award issued by a Financial Industry Regulatory Authority arbitration panel against Goldman Sachs Execution & Clearing LP to stand. [read post]
12 Jul 2012, 9:30 pm
The Securities and Exchange Commission (SEC) approved a final rule that requires national securities exchanges and the Financial Industry Regulatory Authority to create a database to facilitate stock trade audits.The Federal Trade Commission (FTC) is reportedly considering levying a $22.5 million fine on Google for bypassing a privacy setting on Apple's Safari web browser. [read post]
