Search for: "Financial Industry Regulatory Authority"
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25 May 2012, 10:55 am
That’s why we only just saw the May 1 notice from the Financial Industry Regulatory Authority (FINRA) that it recently assessed Citigroup; Morgan Stanley; UBS; and Wells Fargo Advisors a total of more than $9 million in sanctions and restitution for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and without having a reasonable basis for recommending the securities. [read post]
21 Aug 2012, 9:51 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
24 Jun 2022, 7:12 am
Antonia Tzinova practices in the areas of international trade, foreign direct investment and industrial security. [read post]
17 Oct 2019, 10:29 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
25 Feb 2020, 7:24 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
28 Nov 2010, 12:49 am
Raifman is before the court on the plaintiffs motion for a preliminary injunction to prevent the defendants from compelling it to arbitrate with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Apr 2010, 12:46 pm
” The Financial Industry Regulatory Authority (FINRA) filed a separate complaint accusing the firm of misleading investors about the funds' risks. [read post]
9 Mar 2015, 9:33 am
If this is the case, the investor would most likely have to go through arbitration by filing a claim with the Financial Industry Regulatory Authority (FINRA) to attempt to recover lost investments. [read post]
8 Apr 2010, 9:32 am
., by the Securities and Exchange Commission (SEC), four states and the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jan 2015, 3:13 pm
According to the article, the deal is nearing approval from the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2008, 7:23 am
The Financial Industry Regulatory Authority ("FINRA") has suggested that investors who need to access their cash might borrow from the brokerage firms against the value of their holdings. [read post]
16 Jul 2021, 6:01 am
Talk to a Securities Fraud Attorney About Filing for Arbitration The securities fraud attorneys at Zamansky LLC have decades of experience helping investors recover their fraud losses through arbitration with the Financial Industry Regulatory Authority (FINRA). [read post]
12 Jun 2011, 8:07 pm
Prospective authors may also contact the Editors with proposals for planned submissions. [read post]
11 Jul 2019, 12:01 pm
On July 8, 2019, the Division of Trading and Markets of the Securities and Exchange Commission and the Financial Industry Regulatory Authority (together, the “Staffs”), issued a joint statement clarifying that entities participating in the marketplace for digital asset securities must comply with federal securities laws, particularly the Customer Protection Rule. [read post]
28 Oct 2010, 6:41 am
Me: Well, it’s an issue because the finder offering to raise capital for your startup should likely be registered with FINRA (Financial Industry Regulatory Authority) and your state’s securities board. [read post]
24 Jun 2022, 7:12 am
Antonia Tzinova practices in the areas of international trade, foreign direct investment and industrial security. [read post]
16 Jun 2011, 2:38 pm
Other hedge funds and individuals are named in the documents from the Financial Industry Regulatory Authority, a self-policing body for Wall Street, these people said. [read post]
11 May 2015, 9:03 am
According to his publicly available Financial Industry Regulatory Authority (FINRA) CRD report, Mr. [read post]
3 Nov 2017, 7:42 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
14 Jun 2022, 8:06 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Federal Bureau of Investigation, and the U.S. [read post]
