Search for: "Financial Industry Regulatory Authority"
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4 Dec 2020, 9:22 am
Is the investment salesperson properly licensed, and his or her firm must be registered with the Financial Industry Regulatory Authority (FINRA), the SEC or a state securities regulator? [read post]
12 Mar 2021, 5:39 am
According to the Financial Industry Regulatory Authority (FINRA), Hede and Graetz were employed with Paulson Investment Company from 2013 until 2017. [read post]
30 Jun 2014, 8:59 am
” According to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, Gainers’, Cicolanis’ and Hoods’ employment at PSSI was terminated. [read post]
20 Feb 2019, 5:55 am
For individuals who have lost money in YES investments (including “iron condors” sold by UBS and other brokerage firms), the primary option for recovering their losses is to file an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Aug 2012, 12:00 pm
About the author: Mathy Stanislaus, Assistant Administrator for the U.S. [read post]
26 Apr 2019, 8:35 am
According to the Financial Industry Regulatory Authority Inc., the regulator has sanctioned broker-dealer Buckman, Buckman & Reid on April 25, 2019 for failure to supervise. [read post]
25 Jun 2019, 2:12 pm
Just last month, our broker fraud lawyers filed a Financial Industry Regulatory Authority (FINRA) claim against Arkadios Capital and one of its brokers on behalf of a client who lost hundreds of thousands of dollars in retirement funds after the broker recommended that she invest in GPB Capital Holdings. [read post]
21 Sep 2018, 4:17 am
The complaint faults defendants for: (I) having advise plaintiffs to resign from their positions, before the investigation was formally concluded; (2) failing to press for formal closure of the investigation; (3) failing to advocate for an investigation of plaintiffs’ immediate superior; and (4) failing to deter Morgan Stanley from including what the complaint characterizes as false and defamatory statements on the Form U-5’s that Morgan Stanley filed with the… [read post]
9 Feb 2009, 9:00 am
In the days ahead, we will rise to the new challenges of today's financial and regulatory realities, both by embracing new approaches and by maintaining the great traditions that have defined this institution throughout its history. [read post]
3 Oct 2018, 6:00 am
The AER has limited legislative authority to oversee corporate transactions. [read post]
12 Mar 2021, 5:39 am
According to the Financial Industry Regulatory Authority (FINRA), Hede and Graetz were employed with Paulson Investment Company from 2013 until 2017. [read post]
22 Jul 2009, 9:43 am
Morgan Keegan is a member of the Financial Industry Regulatory Authority ("FINRA") and is bound by FINRA rules of conduct that provide in part: "A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. [read post]
22 May 2019, 1:24 am
One of the review’s principal conclusions is that TPR’s current form remains the most appropriate for its functions, and rejects the idea of merger with the Financial Conduct Authority (FCA). [read post]
7 May 2021, 8:28 am
As we now know, things went very wrong with the UBS YES strategy starting in 2018. 3 Factors that Led to UBS YES Strategy Investors’ Losses Through investigations and arbitration before the Financial Industry Regulatory Authority (FINRA), we now know precisely why many high-net-worth investors suffered substantial losses with the UBS YES strategy. [read post]
27 Jul 2018, 11:54 am
FINRA Eligibility Rule The first type of limitation is an eligibility cutoff that can bar access to the arbitration forum operated by the Financial Industry Regulatory Authority, better known as FINRA. [read post]
22 Feb 2022, 9:32 am
The Harvest Group purportedly invested more than 340 client accounts in leveraged ETFs for long periods of time, despite the fact that the Financial Industry Regulatory Authority has warned that leveraged ETFs are meant only for short-term trades. [read post]
30 Oct 2020, 9:13 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]
8 Jan 2024, 2:45 am
In summary, defendant alleges that it retained plaintiff to obtain approval for a reverse merger and ticker symbol change from the Financial Industry Regulatory Authority (“FINRA”). [read post]
25 May 2011, 5:00 am
The entire story and Singer’s commentary are worth reading, but in essence it is the story of Financial Industry Regulatory Authority (“FINRA”) Arbitration 10-02435 (May 9, 2011), or the shortsightedness of one Newman Trowbridge, Jr., Esq. [read post]
18 Oct 2019, 10:51 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]
