Search for: "Financial Industry Regulatory Authority"
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2 May 2012, 10:56 am
Daniel Nathan, formerly vice president and regional enforcement director at the Financial Industry Regulatory Authority, joins as a partner. [read post]
2 May 2012, 6:27 am
As reported May 1 by Investment News, the Financial Industry Regulatory Authority (FINRA) shows 4,428 broker/dealers were open in March, compared to 5,005 in 2007. [read post]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
2 May 2012, 5:47 am
Blumenschein, a director of the Financial Industry Regulatory Authority who was banned last week from running his own firm for three months, said he will quit the self-regulator’s board. [read post]
1 May 2012, 1:17 pm
The lead author of the report is Dr. [read post]
1 May 2012, 10:17 am
The Financial Industry Regulatory Authority (FINRA) is investigating and considering legal action against a “captive” broker-dealer of a real estate investment company for the second time in three years. [read post]
29 Apr 2012, 4:49 am
After the Three Mile Island accident, Congress divided the responsibilities of the Atomic Energy Commission, giving its mandate to promote nuclear power to DOE and its regulatory authority to the Nuclear Regulatory Commission (NRC). [read post]
27 Apr 2012, 10:09 am
Structured regulatory cooperation among national authorities. [read post]
27 Apr 2012, 7:45 am
The financial industry has been attempting to delay the rule. [read post]
26 Apr 2012, 8:25 pm
FINRA recently announced that Joel Blumenschein, president of Freedom Investors Corp. and a board member of the Financial Industry Regulatory Authority Inc., has been suspended as a principal of his firm for three months and fined $30,000 in a failure-to-supervise case. [read post]
26 Apr 2012, 3:25 pm
Scott Garrett (R-NJ), who authored HR 2308, the SEC Regulatory Accountability Act that similarly seeks to enhance the Commission’s cost-benefit analysis in similar fashion as the guidance, still plans to keep pushing for his bill’s passage. [read post]
26 Apr 2012, 2:22 pm
Arguing that an ISP does not have authorized access to regulate its own networks may be nearly impossible to assert given their financial right to the infrastructure as well as their responsibility to protect its functionality for all users. [read post]
26 Apr 2012, 2:01 pm
In turn, investors filed grievances at the Financial Industry Regulatory Authority (FINRA) against the investment advisers who recommended these non-traded REITs to them. [read post]
26 Apr 2012, 8:21 am
A Newark, New Jersey Financial Industry Regulatory Authority ("FINRA") Panel has awarded the Graham Jones Family Trust and the Graham Jones Charitable Remainder Trust a total of $4.1 million for losses sustained by the two trusts in bonds consisting largely of collateralized mortgage obligations ("CMOs") and collateralized debt obligations ("CDOs"). [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
26 Apr 2012, 7:57 am
The Financial Industry Regulatory Authority ("FINRA") has censured and fined CapWest Securities, Inc. [read post]
26 Apr 2012, 7:06 am
The Securities and Exchange Commission ("SEC") has approved amendments to Rule 13201 of the Financial Industry Regulatory Authority ("FINRA") Code of Arbitration Procedure for Industry Disputes ("Industry Code"). [read post]
26 Apr 2012, 5:41 am
The claim management model has dominated the United States structured settlement industry since the enactment of the Periodic Payment Settlement Act in 1982. [read post]
26 Apr 2012, 5:01 am
House Financial Services Committee Chairman Spencer Bachus (R-AL) and Rep. [read post]
