Search for: "Financial Industry Regulatory Authority"
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12 Jul 2012, 4:18 pm
Meantime, seeking to generally move investors’ claims forward faster, the Financial Industry Regulatory Authority has launched a pilot arbitration program that will specifically deal with securities cases of $10 million and greater. [read post]
12 Jul 2012, 2:53 pm
The Financial Industry Regulatory Authority (FINRA), the self-regulatory arm of the U.S. securities brokerage industry, has issued an Investor Alert regarding the features and risks of exchange-traded notes (“U.S. brokerage regulator warns of ‘unpleasant surprises’ on ETNs,” by Stuart Gittleman, Reuters). [read post]
12 Jul 2012, 6:26 am
On July 10, the Financial Industry Regulatory Authority (FINRA) issued an investor alert on the products, following an investigation sparked by sudden swings of the Credit Suisse and Barclays ETNs earlier this year. [read post]
12 Jul 2012, 5:36 am
FINRA (Financial Industry Regulatory Authority) is the "self-regulatory organization" for Wall Street. [read post]
11 Jul 2012, 9:54 pm
According to a recent announcement by the Financial Industry Regulatory Authority (FINRA), the regulator has launched a new pilot program. [read post]
11 Jul 2012, 1:46 pm
The SEC voted to require the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail that will significantly enhance regulators’ ability to monitor and analyze trading activity. [read post]
11 Jul 2012, 12:33 pm
The Financial Industry Regulatory Authority ("FINRA") recently issued an investor alert regarding exchange-traded notes ("ETNs"), which are often confused with similarly-named exchange-traded funds ("ETFs"), but can be fundamentally different. [read post]
11 Jul 2012, 11:25 am
In a turn of events that illuminates what critics contend is the fundamental unfairness of arbitration proceedings, FINRA — the Financial Industry Regulatory Authority — has fired three arbitrators who found in favor of investors in a proceeding against Bank of America subsidiary Merrill Lynch in 2011. [read post]
11 Jul 2012, 11:04 am
Mike Chaney, chairman of NAIC’s Property and Casualty Committee, said the hearing will give regulators a chance to hear from consumers, the industry and financial institutions about the use of forced placed coverage. [read post]
11 Jul 2012, 7:56 am
This suicide attempt caused the NFA, which is the industries self-regulatory organization, to initiate a deeper probe into the company, which led to the discovery of allegedly falsified bank statements since February 2010. [read post]
10 Jul 2012, 8:25 am
Accounting and financial arrangements tend to be opaque, to say the least. [read post]
10 Jul 2012, 6:21 am
Pamlab has authorized Breckenridge to market Folbic, a generic version of the same product. [read post]
9 Jul 2012, 10:06 pm
In the wake of Barclays’ record fines, the regulatory investigation continues, and authorities reportedly have also launched criminal investigations. [read post]
9 Jul 2012, 12:50 pm
Bloomberg reports that the Financial Industry Regulatory Authority (FINRA) summarily removed from its roster three arbitrators who served together on a case in which the investor was awarded more than $500,000 and has refused to even discuss the matter with the arbitrators, despite the absence of any impropriety. [read post]
8 Jul 2012, 9:38 pm
The claim, which is seeking $130,000 in damages, was filed with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Jul 2012, 12:09 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) has just launched a pilot program specifically designed for large arbitration cases involving claims of $10 million or more, though it can be used in any case, regardless of size. [read post]
6 Jul 2012, 4:57 am
Indeed, “[e]very tax is in some measure regulatory. [read post]
5 Jul 2012, 9:37 pm
In some cases, Financial Industry Regulatory Authority-registered brokerage firms may be held liable for having improperly sold structured products to their clients, such as those created by Deutsche Bank. [read post]
5 Jul 2012, 5:36 am
*Based on a key word defined sample of staff authored editorials in the following newspapers for the months shown: the Daily Telegraph, the Guardian, the Times, the Independent, the Financial Times, the Daily Mail, and the Mirror. [read post]
3 Jul 2012, 8:34 am
The Financial Industry Regulatory Authority ("FINRA") announced a new voluntary pilot program for the administration of arbitration cases geared towards cases involving large monetary damages of $10 million or more ("Pilot"). [read post]
