Search for: "Financial Industry Regulatory Authority"
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29 May 2012, 12:15 pm
While many investment advisers first panned a bill that would give broader authority to the Financial Industry Regulatory Authority, the plan is gaining traction in some parts of the financial world. [read post]
29 May 2012, 12:03 pm
Of course the activists had help: the falling cost of natural gas and a decline in electricity demand following the 2008 financial collapse made coal vulnerable. [read post]
29 May 2012, 9:07 am
On May 18, 2012 the Financial Industry Regulatory Authority (FINRA) issued its Regulatory Notice 12-25 which provides additional guidance on the rule of suitability that will go into place on July 9, 2012. [read post]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations. [read post]
25 May 2012, 2:53 pm
In March 2011, Jason Schlesinger filed a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) alleging breach of contract and seeking $1 million in compensatory damages, punitive damages, costs, and attorneys' fees. [read post]
25 May 2012, 10:55 am
That’s why we only just saw the May 1 notice from the Financial Industry Regulatory Authority (FINRA) that it recently assessed Citigroup; Morgan Stanley; UBS; and Wells Fargo Advisors a total of more than $9 million in sanctions and restitution for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and without having a reasonable basis for recommending the securities. [read post]
25 May 2012, 8:42 am
In January 2011, Nicole Cannava filed a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) seeking $68,117 in compensatory damages plus interest, attorneys' fees, costs, and expungement of her Central Registration Depository (CRD) as a result of alleged libel on her Form U5 and for wrongful termination. [read post]
25 May 2012, 7:48 am
A Financial Industry Regulatory Authority (FINRA) arbitrator ordered the firm to pay them back $24,450 for their shares of Apple REIT Nine, and to reimburse them for the $425 FINRA filing fee. [read post]
24 May 2012, 9:47 pm
The Financial Industry Regulatory Authority has started to increase its efforts in regulating inverse ETFs and ETNs, hoping to ensure that unsophisticated investors are not being sold these complicated products. [read post]
24 May 2012, 8:26 am
On Monday, a Financial Industry Regulatory Authority ("FINRA") arbitrator ruled in favor of customers, Joseph Graziose and Florence Hechtel (collectively "Customers"), and ordered David Lerner Associates, Inc. [read post]
24 May 2012, 7:50 am
Broker-dealers’ conflicts of interest and the proliferation of complex financial products being sold by financial advisers are the top areas of concern to the Financial Industry Regulatory Authority (FINRA), according InvestmentNews (“Ketchum: Finra’s focus on conflicts of interest compounding,” by Bruce Kelly). [read post]
24 May 2012, 6:52 am
As reported May 23 by Investment News, an arbitrator of the Financial Industry Regulatory Authority (FINRA) ordered Lerner to pay the claimants – Joseph Graziose and Florence Hechtel – $24,450 after they return their shares of Apple REIT Nine to the firm. [read post]
24 May 2012, 6:42 am
Last week, Financial Industry Regulatory Authority Inc. arbitrator Alvin Green apparently ordered the firm to pay the two individuals $24,450 after they return their shares of Apple REIT Nine to the firm. [read post]
24 May 2012, 4:38 am
As we said yesterday, the Consumer Financial Protection Bureau is deciding how to regulate the growing prepaid card industry. [read post]
22 May 2012, 9:38 am
Leiman-Carbia, who participated in a panel discussion on Monday in Washington as part of the annual meeting of the Financial Industry Regulatory Authority (FINRA), added that he wonders if brokers truly understand all of the products that they sell to clients. [read post]
22 May 2012, 5:14 am
In a Financial Industry Regulatory Authority (? [read post]
22 May 2012, 4:54 am
On May 21, 2012, the Financial Industry Regulatory Authority (? [read post]
22 May 2012, 4:00 am
The AFSA proposal has engendered two different reactions in the industry. [read post]
21 May 2012, 2:00 am
” Regulatory challenges are also reshaping financial business models. [read post]
20 May 2012, 7:11 am
We have responsibility for reviewing the disclosures and financial statements of more than 9,100 reporting companies and also oversee approximately 450 transfer agents, 15 national securities exchanges, eight active clearing agencies, and nine nationally recognized statistical rating organizations (NRSROs), as well as the Public Company Accounting Oversight Board (PCAOB), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking… [read post]
