Search for: "Financial Industry Regulatory Authority"
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2 Jul 2012, 3:00 am
An agreement between Bayou Funds and Goldman required disputes to be arbitrated before the Financial Industry Regulatory Authority (FINRA). [read post]
1 Jul 2012, 9:35 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 Bank of America. [read post]
28 Jun 2012, 9:47 pm
A June 21st announcement by the Financial Industry Regulatory Authority (FINRA) stated that the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
27 Jun 2012, 9:30 pm
If Congress instructs agencies to issue rules without further congressional approval, then the President does not have the authority to impose congressional approval as an additional condition of regulatory action. [read post]
27 Jun 2012, 3:25 pm
Part of Dodd-Frank created the Consumer Financial Protection Bureau or CFPB, which is tasked with trying to bring some sanity to the financial industry. [read post]
27 Jun 2012, 12:40 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch $2.8 million for overcharging nearly 95,000 customers with fees totaling more than $32 million. [read post]
27 Jun 2012, 10:59 am
The Financial Industry Regulatory Authority ("FINRA") issued Regulatory Notice 12-30 announcing that the Securities and Exchange Commission ("SEC") has approved identical amendments to Rules 12401 and 12800 of the FINRA Code of Arbitration Procedure for Customer Disputes, and Rules 13401 and 13800 of the FINRA Code of Arbitration Procedure for Industry Disputes (collectively "Simplified Arbitration Rules"). [read post]
26 Jun 2012, 9:30 pm
Financial Industry Regulatory Authority rules have established that 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]
26 Jun 2012, 3:02 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
26 Jun 2012, 9:39 am
Financial Industry Regulatory Authority Inc. [read post]
25 Jun 2012, 3:50 pm
One of those partners is the head of the Financial Services Regulatory Group in the UK & EME, Jacqui Hatfield, who co-authored the client alert. [read post]
25 Jun 2012, 9:02 am
By operation of the Instrument, an issuer will become subject to Canadian public company reporting obligations where the issuer, among other things, engages in promotional activities in furtherance of the purchase or sale of their securities, either directly or through a third party representative, in or from an adopting jurisdiction on or after July 31, 2012, or where the issuer otherwise previously distributed securities to persons resident in an adopting jurisdiction if the issuer is subsequently… [read post]
25 Jun 2012, 8:57 am
Our firm has prosecuted countless cases for Ponzi Scheme victims in Financial Industry Regulatory Authority (FINRA) arbitration lawsuits, ranging from cases related to real estate investments, cattle ranches, oil wells and many other scams. [read post]
25 Jun 2012, 7:08 am
In this case, the Court looked to job duties and responsibilities of the particular detailers and took into consideration industry practice and regulatory compliance. [read post]
24 Jun 2012, 9:59 pm
Financial Industry Regulatory Authority rules have established that 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. [read post]
22 Jun 2012, 7:48 am
The Financial Industry Regulatory Authority ("FINRA") announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
21 Jun 2012, 7:40 am
Nor does the informed consent doctrine require disclosure of a physician’s financial interests. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
