Search for: "Financial Industry Regulatory Authority"
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20 Jan 2012, 2:46 pm
Brokerage firms and registered reps selling private placements, inverse and leveraged exchange traded funds (ETFs), structured notes and other complex investment products have been put on notice by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Jan 2012, 11:26 am
According to a recent article from Reuters, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled in favor of an investor who invested in Auction Rate Securities with Oppenheimer & Co. before that market failed in 2008. [read post]
20 Jan 2012, 9:55 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel issued an Award on January 13, 2012 ordering CapWest Securities, Inc. [read post]
20 Jan 2012, 6:34 am
It held that since sugar is controlled, either through regulatory controls on price or though controls on supply, the industry was not functioning in a free market environment. [read post]
19 Jan 2012, 1:53 pm
Clients of CapWest Securities received a vindication of sorts today when an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered the broker/dealer to pay $9.1 million in damages and legal fees stemming from sales of failed private investments in Medical Capital Holdings and Provident Royalties LLC. [read post]
19 Jan 2012, 7:46 am
Numerous civil complaints filed with the Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) reveal that a number of retirees from National Grid/Niagara Mohawk have fallen prey to improper investment sales tactics by financial advisors and stockbrokers. [read post]
19 Jan 2012, 2:59 am
In a Financial Industry Regulatory Authority (? [read post]
19 Jan 2012, 2:57 am
In an initial Financial Industry Regulatory Authority (? [read post]
18 Jan 2012, 4:17 pm
These records are specifically protected by the Right to Financial Privacy Act and the plaintiffs seek an injunction requiring compliance with its terms as well as financial compensation. [read post]
18 Jan 2012, 11:26 am
The buried arbitration provision that had Cohan seeing red is a nonnegotiable agreement to submit all claims to a mediation or arbitration process overseen and administered by the Financial Industry Regulatory Authority, or FINRA, the powerful self-regulatory organization that overseas broker dealers and their registered representatives. [read post]
18 Jan 2012, 11:26 am
The buried arbitration provision that had Cohan seeing red is a nonnegotiable agreement to submit all claims to a mediation or arbitration process overseen and administered by the Financial Industry Regulatory Authority, or FINRA, the powerful self-regulatory organization that overseas broker dealers and their registered representatives. [read post]
18 Jan 2012, 11:26 am
The buried arbitration provision that had Cohan seeing red is a nonnegotiable agreement to submit all claims to a mediation or arbitration process overseen and administered by the Financial Industry Regulatory Authority, or FINRA, the powerful self-regulatory organization that overseas broker dealers and their registered representatives. [read post]
18 Jan 2012, 3:45 am
In this matter, the Financial Industry Regulatory Authority (? [read post]
18 Jan 2012, 3:43 am
In a Financial Industry Regulatory Authority (? [read post]
17 Jan 2012, 9:00 pm
The Securities Industry and Financial Markets Association wants the Financial Industry Regulatory Authority Inc. to prevent brokers from being able to plead poverty to escape arbitration payment orders. [read post]
17 Jan 2012, 1:25 pm
Brokerage firms that sell nontraded REITs reportedly “cringe” at Investor Alerts posted by the Financial Industry Regulatory Authority (FINRA) warning of the dangers of those products. [read post]
17 Jan 2012, 5:14 am
The three possible options would be: Authorizing the SEC to conduct the examinations and fund them by collecting user fees; Authorize a new self-regulatory organization (SRO) to examine the advisers; or Authorize the Financial Industry Regulatory Authority (FINRA) to examine the advisers The economic analysis of the options was based on public research along with more than 40 in-depth interviews with various investment… [read post]
16 Jan 2012, 4:42 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) for the period September through December 2011: September 2011 John-Eric Bonilla, formerly with U.S. [read post]
16 Jan 2012, 3:22 pm
According to the Senators, to leave collateral managers out of a regulation intended to limit conflicts of interest in securitizations would make no sense in the context of industry norms and unduly restrict regulatory scope and impact.The proposal suggests adopting the narrow definition of "sponsor" used in Regulation AB as a type of catchall phrase to encompass a variety of securitization participants. [read post]
16 Jan 2012, 8:35 am
On Jan. 9, an arbitrator for the Financial Industry Regulatory Authority, or FINRA, awarded customers of a brokerage firm compensatory damages of roughly $55,000 for breach of fiduciary duty, negligence and breach of contract in the course of a bond sale. [read post]
