Search for: "Financial Industry Regulatory Authority"
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5 Apr 2012, 6:42 am
A three-person Financial Industry Regulatory Authority Inc. panel recently awarded two former Merrill Lynch financial advisors over $10 million ($5 million in compensatory damages and $5 million in punitive damages) over deferred compensation benefits allegedly owed to the advisors. [read post]
5 Apr 2012, 6:29 am
A Financial Industry Regulatory Authority Inc. hearing panel recently ordered David Lerner to pay more than $3.7 million in fines and restitution for overcharging retail customers on sales of more than 1,500 municipal bonds and 1,700 collateralized-mortgage-obligation transactions. [read post]
4 Apr 2012, 1:27 pm
A Financial Industry Regulatory Authority ("FINRA") Hearing Panel has fined David Lerner & Associates ("DLA") $2.3 million for charging excessive markups on municipal bond and collateralized mortgage obligations ("CMOs") during the period January 2005 to January 2007. [read post]
4 Apr 2012, 11:15 am
" Bickford concludes: "The regulatory oversight of a licensed company should not end with the entering of an order of liquidation or rehabilitation. [read post]
4 Apr 2012, 7:20 am
CME was the designated self-regulator of MF Global, which included audit authority. [read post]
4 Apr 2012, 7:05 am
A Financial Industry Regulatory Authority arbitration panel has ruled in favor of James Zeigon, a former executive for Deutsche Bank AG, in an investment loss case. [read post]
3 Apr 2012, 9:25 am
Learn more about the author of this page, Mark Wahlstrom by visiting Wahlstrom & Associates web page. [read post]
3 Apr 2012, 9:25 am
Learn more about the author of this page, Mark Wahlstrom by visiting Wahlstrom & Associates web page. [read post]
3 Apr 2012, 8:51 am
In 2005, while employed by the investment branch of SunTrust Banks Inc., Miller was linked by a Financial Industry Regulatory Authority document to sales of unregistered stock in the Knoxville-based IdleAire venture. [read post]
3 Apr 2012, 7:57 am
CFPB has supervisory, rulemaking, and regulatory authority over banks with over $10 billion in assets. [read post]
2 Apr 2012, 5:09 pm
The absence of a contractual relationship between the parties in defamation makes a construction industry style adjudication system more difficult to establish. [read post]
2 Apr 2012, 8:17 am
USAID Administrator Rajiv Shah is announcing a broad set of reforms [in order to] reduce the development industry’s dependence on cash. [read post]
31 Mar 2012, 8:17 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) for the period January through March 2012: January 2012 Michael William Bozora and Timothy Roberts Redpath, formerly with Capital Solutions Distributors LLC, in Corte Madera, California, were fined $50,000 and suspended from association with any FINRA member in any capacity for… [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]
30 Mar 2012, 12:25 pm
Data Brokers: The FTC will support data broker legislation and will urge the data broker industry to create a centralized website. [read post]
29 Mar 2012, 12:55 pm
Mincy to recover those losses by filing a claim through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. [read post]
29 Mar 2012, 9:35 am
Kate DaSilva and Stanley McKeen - In January of this year the U.K. securities regulator, the Financial Services Authority (the FSA), issued Consultation Paper CP12/2 proposing amendments to rules applied by it as the UK Listing Authority to companies listed or seeking listings on the UK’s regulated stock market (the Listing Rules). [read post]
28 Mar 2012, 12:33 pm
If investors have suffered losses they may be able to pursue recovery of their losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution claims process. [read post]
28 Mar 2012, 10:58 am
” • Promoting Enforceable Self-Regulatory Codes: The FTC anticipates cooperating with the Commerce Department’s effort to develop industry-specific codes of conduct, which if adopted would be subject to the FTC’s continuing enforcement authority under Section 5 of the FTC Act against unfair and deceptive acts or practices. [read post]
27 Mar 2012, 12:18 am
In deciding whether to award exemplary damages the courts should take into account the financial situation of the media organisation concerned (para 134). [read post]
