Search for: "Financial Industry Regulatory Authority"
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21 Jan 2017, 7:00 am
The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization for broker-dealers, brings about 1,500 enforcement actions a year. [read post]
8 Mar 2018, 6:39 pm
“The financial crisis and the ensuing legislative and regulatory responses greatly affected the banking industry. [read post]
13 Sep 2016, 6:06 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Tinnelly (Tinnelly). [read post]
14 Jul 2010, 1:30 pm
Financial Industry Regulatory Authority (FINRA) yesterday announced an expansion in the amount of information that will be available to the public regarding current and former security brokers through its online BrokerCheck service. [read post]
21 Apr 2010, 6:46 am
Financial Industry Regulatory Authority (FINRA) yesterday published guidance regarding the suitability, disclosure and other obligations of broker-dealers recommending securities in offerings made under the SEC's Regulation D (private placements). [read post]
28 Jan 2010, 3:05 pm
The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation today announced $1 million in grants to launch four law school clinics that will provide legal help to underserved investors involved in securities disputes. [read post]
27 Jun 2014, 10:34 am
Waste Treatment Biz Lands Stockbroker In FINRA DumpsterJuly 3, 2014For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or ... [read post]
22 Nov 2011, 8:51 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Investment Securities, Inc. $300,000 for misleading investors about Wells Timberland REIT, Inc., a non-traded Real Estate Investment Trust (REIT). [read post]
16 Jul 2020, 9:09 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for Municipal Advisors. [read post]
18 May 2012, 7:18 am
The Financial Industry Regulatory Authority (FINRA) is showing stepped-up interest in the role of broker-dealers and individuals that act as wholesalers in the sale of private (Reg D) offerings that clients and often brokers do not fully understand. [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]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
6 Dec 2007, 4:47 am
The claims, which will be submitted to the Financial Industry Regulatory Authority for arbitration, represent more legal challenges for Bear Stearns, whch [...] [read post]
15 Jun 2015, 6:00 pm
An Arizona broker took advantage of a client who had Alzheimer’s according to a complaint filed by The Financial Industry Regulatory Authority Inc. [read post]
11 Jul 2012, 1:46 pm
The SEC voted to require the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail that will significantly enhance regulators’ ability to monitor and analyze trading activity. [read post]
15 Feb 2012, 9:00 am
Securities Arbitration Law firm announced that it will continue to investigate and pursue securities arbitration claims against Merrill Lynch and other firms on behalf of investors who sustained losses using the Financial Industry Regulatory Authority’s (“FINRA”) office of Dispute Resolution. [read post]
4 Apr 2017, 7:31 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field.Details are available at Indisputably - 2017 Securities Dispute Resolution Triathlon [read post]
14 Aug 2008, 6:53 am
Under the plan, the programs to prevent and detect insider trading will be centrally controlled by the Financial Industry Regulatory Authority (FINRA) and a [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
12 Jul 2010, 2:08 pm
The SEC approved a proposed rule change (SR-FINRA-2010-022), filed by the Financial Industry Regulatory Authority to amend the Codes of Arbitration Procedure to increase the number of arbitrators on lists generated by the Neutral List Selection System. [read post]
