Search for: "Financial Industry Regulatory Authority"
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26 Mar 2012, 1:14 pm
The White Law Group is investigating the potential for investors who suffered losses as a result of working with Marc Duda to recover their investment losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution claims process. [read post]
26 Mar 2012, 1:00 pm
The IAA is concerned because Congress is fully aware of the Financial Industry Regulatory Authority's (FINRA) position and its desire to become the SRO for investment advisers. [read post]
26 Mar 2012, 10:10 am
In addition, it outlines privacy regulatory priorities for the FTC for the next year, including Do Not Track, mobile, promoting self-regulatory codes, and addressing data brokers and “large platform providers. [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 2012, 2:59 am
" Instead, the hunt for contaminated meat starts and finishes at the downstream destination.As such, Americans are virtually guaranteed ongoing disease outbreaks from contaminated meat, because USDA refuses to implement enforcement actions at the source of the contamination, preferring to use its regulatory authority at smaller downstream plants that are easier enforcement prey and lack the political clout and financial wherewithal enjoyed by the multinational… [read post]
22 Mar 2012, 2:28 pm
Arthur Lin while he was registered with Financial Industry Regulatory Authority (FINRA) member firm LPL Financial may be able to recover their investment losses through the FINRA dispute resolution process. [read post]
22 Mar 2012, 8:17 am
Kelly and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call The White Law Group’s Chicago office at 312-238-9650. [read post]
21 Mar 2012, 9:55 am
The author of this blog is Douglas C. [read post]
21 Mar 2012, 5:00 am
Besides investment advisers, OCIE also examines broker-dealers, transfer agents, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations, SROs (Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board), and the Public Company Accounting Oversight Board. [read post]
21 Mar 2012, 3:00 am
Congress enacted ACA in order to address that problem.Thus, the central components of the ACA are the so-called “Guaranteed Issue” and “Community Rating” provisions, which prohibit insurers from denying coverage or charging higher premiums, respectively, to any person because of that person’s preexisting medical conditions or medical history—ensuring, in effect, the nondiscrimination norms that Congress had already effectively required for the remainder of… [read post]
20 Mar 2012, 9:03 pm
.” It would require most Americans to obtain health insurance by January 1, 2014, or pay a financial penalty — perhaps as high as $3,000 — with their tax return. [read post]
20 Mar 2012, 3:42 pm
The Financial Industry Regulatory Authority (FINRA) is an independent regulator of security advisors and securities firms doing business in the United States. [read post]
20 Mar 2012, 3:35 pm
The Financial Industry Regulatory Authority (FINRA) is an independent regulator of security advisors and securities firms doing business in the United States. [read post]
20 Mar 2012, 3:35 pm
The Financial Industry Regulatory Authority (FINRA) is an independent regulator of security advisors and securities firms doing business in the United States. [read post]
20 Mar 2012, 6:23 am
The Financial Industry Regulatory Authority (FINRA) has fined Citi International Financial Services, LLC ("Citi"), a subsidiary of Citigroup, Inc., $600,000 and ordered it to pay $648,000 in restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
19 Mar 2012, 9:06 pm
The timetable for a ruling depends upon how the Justices interpret a 145-year-old federal law, the Anti-Injunction Act, that defines courts’ authority, and Monday’s argument may provide some strong clues of their reaction. [read post]
19 Mar 2012, 5:42 am
In the case of Morgan Stanley, a review by the Financial Industry Regulatory Authority (FINRA) into sales of the firm's structured products - which included principal-protected investments, leveraged exposure, yield enhancement, and access investments - revealed that in many instances the true risks of the structured products were never disclosed to clients. [read post]
17 Mar 2012, 4:17 pm
Felix Investments and Mazzola have, however, settled a related but separate action with the Financial Industry Regulatory Authority with the firm consenting to pay a $250,000 fine and Mazzola a $30,000 fine. [read post]
16 Mar 2012, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) reported that fines for false advertising have more than quadrupled from $4.75 million in 2010 to $21.1 million in 2011. [read post]
16 Mar 2012, 12:10 pm
As a result of the financial crisis, the Financial Industry Regulatory Authority (FINRA) has significantly increased number of enforcement actions and the amount of sanctions imposed on broker-dealers in the previous year. [read post]
