Search for: "Financial Industry Regulatory Authority"
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31 Aug 2018, 8:43 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Basralian from the securities industry in March 2018 after he allegedly failed to provide testimony regarding FINRA’s investigation. [read post]
12 Oct 2021, 8:04 am
According to Henley’s BrokerCheck Report published by the Financial Industry Regulatory Authority (FINRA), the defendant brokerage arm of the firm (Henley & Company LLC) apparently failed to disclose the existence of its10 Beatty Road satellite office to FINRA. [read post]
29 May 2019, 2:19 pm
For almost 30 years, we’ve worked with thousands of investors to help them get back their losses from investment fraud through Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), the New York Stock Exchange (NYSE), in private arbitration, and in Federal and state courts. [read post]
15 Feb 2023, 10:26 am
Stamer also is widely recognized for her decades of pragmatic, leading edge work, scholarship and thought leadership on health, health plan and managed care industry, workplace safer and occupational health, public health and safety, and other health care operations, risk management, compliance and regulatory and public affairs. [read post]
15 May 2023, 7:37 am
Another important difference is that DG COMP has multiple industry-focused merger units (org chart (PDF)), one of which (COMP.C.5) focuses on IT, communication, and media industry mergers, while the members of the CMA's Microsoft-ABK inquiry group have zero tech industry background (if anything, they're experts in the financial services industry) and investigate mergers in a wide range of industries. [read post]
1 Feb 2019, 8:38 am
According to the Court, in seeking to enforce Redwater’s end of life obligations, the AER was acting in the public interest in a bona fide regulatory capacity and did not stand to benefit financially. [read post]
1 Apr 2009, 5:35 am
The G-20 said that hedge funds or their managers will need to register and provide authorities with the relevant information they require. [read post]
26 Mar 2015, 8:45 am
Stamer has more than 26 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
29 Jul 2011, 6:00 am
She is widely recognized for her experience helping design and implement legally compliant self-insured and insured health reimbursement, mini-med, high-deductible health plans, limited benefit plans, 24-hour and occupational medicine, ex-pat and medical tourism, deductible reimbursement and other creative health benefit programs to solve a wide range of financial and other challenges while coping with changing regulatory and market realities. [read post]
10 Feb 2021, 4:53 pm
As a result of this increase in popularity, the Financial Industry Regulatory Authority (FINRA) recently published an article warning about the risks of microcap fraud. [read post]
4 Dec 2017, 12:23 pm
Investors can file an arbitration claim or request mediation through The Financial Industry Regulatory Authority (FINRA) when they have a dispute involving the business activities of a brokerage firm or one if its brokers. [read post]
23 Mar 2012, 9:17 am
Investors who have since filed arbitration claims with the Financial Industry Regulatory Authority (FINRA) allege that Citigroup and its managers intentionally misled them about ASTA/MAT and were well aware of the risks involved with the funds. [read post]
23 Mar 2018, 6:35 pm
In many cases, scam artists will employ tactics specifically designed to make their offerings appear more legitimate, such as purporting to operate under the EB-5 Immigrant Investor Program or falsely claiming affiliation with the Financial Industry Regulatory Authority (FINRA) or another official organization. [read post]
24 Sep 2021, 10:43 am
The Financial Industry Regulatory Authority (FINRA) addresses suitability in its Rule 2111. [read post]
30 Mar 2012, 3:57 pm
The Financial Industry Regulatory Authority (FINRA) continues to pay close attention to issues related to non-traded REITs, including how they are sold and valuated. [read post]
13 Jul 2018, 7:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Robin “Rob” Reading (Reading) appears to be an agent for Woodbridge fraudulent note sales. [read post]
9 Aug 2011, 9:06 am
Similar to the SEC website is the Financial Industry Regulatory Authority website, located at finra.org. [read post]
29 Apr 2014, 7:16 am
The Financial Industry Regulatory Authority (FINRA) has also clamped down on inappropriate sales of oil and gas ventures. [read post]
17 Sep 2013, 3:24 pm
Brokers that sell REITs have a fiduciary duty to make sure the investment is suitable for every individual client and must take into account the clients age, risk tolerance, financial needs, and investment objections to name a few of the suitability requirements enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
10 Feb 2011, 6:50 am
FINRA: Citi To Pay Investors $6.4M By Lorie Konish February 9, 2011 A Financial Industry Regulatory Authority panel has ordered two parts of Citigroup Inc. to pay $6.4 million to make up for investment losses tied to a group of troubled municipal arbitrage trust funds. [read post]
