Search for: "Financial Industry Regulatory Authority"
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28 Jan 2012, 9:56 am
The Financial Crimes Enforcement Network is working on a regulatory proposal that would require investment advisers to establish anti-money laundering programs and report suspicious activity. [read post]
27 Jan 2012, 6:35 am
The Financial Industry Regulatory Authority ("FINRA") issued an alert to investors warning them that a compromised email account can not only lead to identify theft, but also to the theft of their money. [read post]
26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch’s branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. [read post]
26 Jan 2012, 7:25 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former Boston Red Sox catcher and two-time World Series winner, Doug Mirabelli and his wife, $1.2 million in their claims against Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
26 Jan 2012, 6:54 am
The Financial Industry Regulatory Authority ("FINRA") has fined Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
26 Jan 2012, 5:46 am
In a previous blog, we discussed the Financial Industry Regulatory Authority's (FINRA's) proposed Rule 2210 regarding social media. [read post]
26 Jan 2012, 4:07 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
26 Jan 2012, 4:07 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
25 Jan 2012, 12:23 pm
The fine was part of a settlement with Merrill Lynch announced by the Financial Industry Regulatory Authority (FINRA) on Jan 25. [read post]
25 Jan 2012, 12:21 pm
The Financial Industry Regulatory Authority sanctioned Merrill Lynch for requiring former brokers to settle disputes over "retention bonuses" in New York State court instead of an authority arbitration panel. [read post]
25 Jan 2012, 11:38 am
On Jan. 13, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ruled thatandnbsp;Merrill Lynch had to repay Mirabelli and his wife Kristin more than $1.2 million in damages and fees. [read post]
25 Jan 2012, 8:51 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Oppenheimer & Co., Inc. [read post]
24 Jan 2012, 12:11 pm
Charges have recently been filed with the Financial Industry Regulatory Authority (“FINRA”) against broker James Lamont and Independent Financial Group. [read post]
24 Jan 2012, 10:49 am
Further, The White Law Group has represented numerous investors in Financial Industry Regulatory Authority (FINRA) arbitration proceedings seeking to recover damages due to the purchase of non-traded REITs like the Behringer Harvard REIT I, Behringer Harvard Opportunity REIT I and the Behringer Harvard Multifamily REIT I. [read post]
24 Jan 2012, 7:20 am
SIFMA/ISDA position limits suit dismissed by appeals courtAn appeals court in Washington D.C. has thrown out a lawsuit brought by the Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association challenging the CFTC’s new position limits regulation. [read post]
24 Jan 2012, 2:00 am
The two trades groups are the Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association, both deemed influential organizations. [read post]
23 Jan 2012, 8:21 am
Lee's bill seeks to expedite the next permitting process by putting it in the hands of the industry-friendly and quasi-independent Federal Energy Regulatory Commission (FERC). [read post]
23 Jan 2012, 6:59 am
Last week, the Financial Industry Regulatory Authorized ("FINRA") issued Notice to Members 12-03 ("Notice") informing its members of the traits which may make an investment "complex," requiring heightened supervision and compliance procedures. [read post]
23 Jan 2012, 4:15 am
to the Financial Industry Regulatory Authority (? [read post]
22 Jan 2012, 9:02 pm
The Consumer Financial Protection Bureau’s bailiwick includes the authority to write rules that would further the purposes of the Fair Credit Reporting Act. [read post]
