Search for: "Financial Industry Regulatory Authority"
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6 Feb 2012, 2:36 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
3 Feb 2012, 5:52 pm
Charles Schwab andamp; Co. violated regulatory rules by requiring customers to sign a contract with a provision waiving their rights to bring class actions against the firm, according to a complaint filed by the Financial Industry Regulatory Authority (FINRA) on Feb. 1 Schwab is one of the nationandrsquo;s largest discount brokerage firms, with more than 340 offices nationwide that together employ about 7,000 brokers. [read post]
2 Feb 2012, 8:49 pm
., co-author of CCH Franchise Regulation and Damages.The recent case of Echo, Inc. v. [read post]
2 Feb 2012, 7:15 am
The Financial Industry Regulatory Authority (FINRA) recently issued a report outlining is its regulatory and examination priorities for 2012. [read post]
2 Feb 2012, 6:18 am
The Financial Industry Regulatory Authority has filed a complaint alleging that Charles Schwab & Company ("Schwab") violated FINRA rules by including a provision in its customer agreement requiring customers to waive their rights to participate in class actions against the firm. [read post]
2 Feb 2012, 5:19 am
FACEBOOK RISK FACTORS Risks Related to Our Business and Industry If we fail to retain existing users or add new users, or if our users decrease their level of engagement with Facebook, our revenue, financial results, and business may be significantly harmed. [read post]
1 Feb 2012, 2:19 pm
With his firm, David Lerner Associates, already facing a disciplinary complaint by the Financial Industry Regulatory Authority (FINRA) for misleading investors and selling shares in illiquid real estate investment trusts (REITs) to unsophisticated and elderly customers, owner David Lerner apparently continued to improperly pitch the products. [read post]
1 Feb 2012, 10:02 am
Back in October 2008, the Financial Industry Regulatory Authority (FINRA) launched a pilot program to gauge the interest investors might have in arbitrating their claims before a panel composed solely of public arbitrators, instead of two public arbitrators and one arbitrator from within the financial industry, as was normally the case. [read post]
1 Feb 2012, 10:02 am
Back in October 2008, the Financial Industry Regulatory Authority (FINRA) launched a pilot program to gauge the interest investors might have in arbitrating their claims before a panel composed solely of public arbitrators, instead of two public arbitrators and one arbitrator from within the financial industry, as was normally the case. [read post]
1 Feb 2012, 8:51 am
The Financial Industry Regulatory Authority (FINRA) recently issued an “investor alert” to warn investors who may be attracted to the high return promised by floating rate funds. [read post]
1 Feb 2012, 7:10 am
In 2005, the Financial Industry Regulatory Authority (FINRA) issued the first of several notices reminding brokerage firms that it was inappropriate to recommend a TIC transaction if the recommendation was based solely upon information and representations made by the sponsoring company in the TIC’s offering document. [read post]
1 Feb 2012, 6:20 am
The Financial Industry Regulatory Authority ("FINRA") has amended its pending complaint against David Lerner & Associates ("DLA") to add claims against David Lerner ("Lerner"), personally, and to add allegations that DLA continues to make false and misleading claims to potential investors with regard to Apple REITs, non-traded real estate investment trusts. [read post]
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
31 Jan 2012, 5:48 pm
Meantime, the SEC will continue to depend on its antifraud authority, per federal securities law. [read post]
31 Jan 2012, 11:28 am
The regulator in question is the nuclear regulator that has been proposed under the Nuclear Safety Regulatory Authority of India Bill, 2011 (NSRAI). [read post]
31 Jan 2012, 9:59 am
Working with industry, DHS would identify certain core critical infrastructure operators (presumably things like the electric grid and the financial markets) and then develop a priority list of the most important cyber threats and vulnerabilities for those operators. [read post]
31 Jan 2012, 8:42 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
31 Jan 2012, 6:00 am
Former Major League Baseball player Douglas Mirabelli and his wife, Kristin Mirabelli, won a major arbitration dispute with Merrill Lynch this week when a Financial Industry Regulatory Authority (Finra) Arbitration Panel ordered the firm to pay the couple more than $1.2 million for losses in their income portfolio. [read post]
30 Jan 2012, 11:42 am
All-public arbitration panels have proved to be a popular combination for investors who’ve filed securities-related complaints with the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2012, 9:43 am
Kahn, who is trained as a CPA, also serves as an arbitrator in securities disputes subject to Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
28 Jan 2012, 9:29 pm
A Financial Industry Regulatory Authority panel wants Citigroup to pay financial advisor siblings Robert Vincent Minchello and James Bryan Minchello, as well as administrator Martha Jane Sullivan, $24 million. [read post]
