Search for: "Financial Industry Regulatory Authority"
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4 Mar 2014, 9:51 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 3:17 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 1:04 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
29 Jun 2018, 10:10 am
A firm may only file Form ATS with the SEC after receiving the Financial Industry Regulatory Authority’s (“FINRA”) approval of its broker-dealer application (or after purchase of a broker-dealer). [read post]
21 Jul 2022, 6:46 am
Retaining Experienced SEC Whistleblower Lawyers Whistleblowers help the public by notifying authorities of harmful conduct, while also earning financial compensation for themselves. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
21 Sep 2022, 11:32 am
Regulators Focus on Reverse Churning The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are both keeping an eye on account transitions, according to an article in Investment News. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
15 Jan 2018, 6:00 am
Following a hearing, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel denied each of Craig’s claims. [read post]
22 Apr 2022, 9:20 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
7 Sep 2007, 9:46 am
Melton, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com, 1-866-332-3567 toll free On Wednesday of this week (Sept. 5, 2007) the Financial Industry Regulatory Authority (FINRA) fined AXA Advisors, LLC, $1.2 million for fee-based account violations. [read post]
13 Aug 2024, 7:17 am
An arbitration action is an alternative to a lawsuit and conducted with the Financial Industry Regulatory Authority, or FINRA, who oversees and regulates broker-dealers, brokers, and other investment professionals. [read post]
9 Jul 2016, 6:50 am
At the time, it seemed like a new low for the industry. [read post]
18 Oct 2010, 9:35 am
Environmental Law & Climate Change Law Newsletter October 18, 2010, Volume 2, Number 31 The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
18 Oct 2010, 9:35 am
Environmental Law & Climate Change Law Newsletter October 18, 2010, Volume 2, Number 31 The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
13 Jul 2018, 10:37 pm
Coupled with the Trump Administration’s recent rollout of its long promised association health plan, short-term coverage and other regulatory reforms and promises of more changes to come, the ongoing attention paid by the Administration and Congress to health insurance and health care reform raises a strong possibility that employer, association, and other health plan sponsors, fiduciaries and their vendors that they and their plan members should be on watch for late-breaking… [read post]
14 Dec 2017, 9:33 am
The Commission opted for a “light touch” approach by asserting its regulatory authority under Section 706. [read post]
14 Dec 2017, 9:33 am
The Commission opted for a “light touch” approach by asserting its regulatory authority under Section 706. [read post]
11 Apr 2019, 4:21 am
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Health Care,” “Labor & Employment,” “Tax: Erisa & Employee Benefits”… [read post]
23 Oct 2019, 11:31 am
Stamer also has leading edge experience in health benefit, health care, health, financial and other plan, program and process design, administration, documentation, contracting, risk management, compliance and related process and systems development, policy and operations; training; legislative and regulatory affairs, and other legal and operational concerns. [read post]
