Search for: "Financial Industry Regulatory Authority"
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22 Apr 2013, 9:52 am
Thompson is under investigation by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to produce a “privileged log” requested by FINRA. [read post]
2 Mar 2014, 1:00 pm
It can be made simpler using resources available from the aptly named Retirement Plan Simpler, a non-profit coalition of the American Association of Retired People (AARP), the Financial Industry Regulatory Authority (FINRA), and the Retirement Security Project. [read post]
10 Nov 2023, 2:00 pm
More from our authors: Vissers Annotated European Patent Convention 2023 Edition by Kaisa Suominen, Nina Ferara, Peter de Lange, Andrew Rudge€ 105 Guide to EU and UK Pharmaceutical Regulatory Law, Eighth Edition by Sally Shorthose€ 265 Patent Litigation Through the Unified Patent Court… [read post]
1 Sep 2007, 4:26 pm
Just last week, FINRA (Financial Industry Regulatory Authority) filed a complaint against Mutual Service Corp alleging that it failed to reasonably supervise the firms' review of its variable annuity transactions, reports InvestmentNews.com. [read post]
6 Oct 2020, 8:18 am
” “Solicitors still acting as fronts for ‘dubious schemes’” “The Solicitors Regulation Authority has made a new warning to solicitors about becoming involved in dubious investment schemes after reviewing recent cases leading to the closure of seven firms and other regulatory action. [read post]
21 Mar 2011, 5:00 am
With any public M&A deal where there is a spike in trading activity before the deal is announced, the Financial Industry Regulatory Authority pokes around the accounts that traded in those shares to see if anyone trading was an insider. [read post]
15 May 2020, 11:47 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]
5 Jan 2024, 5:45 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]
31 Aug 2020, 9:43 am
” Our securities fraud attorneys represent many of these investors, and each year we recover millions of dollars in compensation for our clients through arbitration with the Financial Industry Regulatory Authority (FINRA) and in federal courts across the country. [read post]
4 Mar 2024, 11:36 am
Does not include as a freelance worker: (i) a sales representative under New York Labor Law § 191; (ii) a person engaged in the practice of law; (iii) a licensed medical professional; and (iv) any individual, partnership, corporation, or other entity admitted to membership in the Financial Industry Regulatory Authority. [read post]
4 Jan 2010, 1:12 pm
But overlooked and lurking behind this gadget envy is an important regulatory decision -- one expected in weeks on whether to authorize an iPhone jailbreak. [read post]
27 Mar 2009, 6:30 am
The Financial Industry Regulatory Authority (FINRA) issued an investor alert, Putting Too Much Stock in Your Company—A 401(k) Problem. [read post]
13 May 2009, 4:20 pm
Authored by: Helen Cho Eckert (213) 617-4286 HEckert@sheppardmullin.com [read post]
30 Mar 2010, 12:01 am
Registration protects investors, at least in theory, by requiring disclosures, including audited financial statements, and review of those disclosures by a gatekeeper, the U.S. [read post]
14 Jul 2009, 6:25 am
But there are some considerable differences between industrial giants like GM, and financial companies that might make CIT’s survival in bankruptcy a less certain situation. [read post]
7 Nov 2019, 4:45 am
Free Consultation with a Securities Attorney Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment prior to recommending the investment. [read post]
17 Aug 2020, 9:39 am
Our investment fraud attorneys have been made aware that some of the investors in the Vida Longevity Fund have come to question Vida Capital Management, LLC’s business practices, and the preliminary results of our investigation have suggested that investors who have lost money with Vida Capital Management, LLC may be entitled to recover their losses through securities arbitration with the Financial Industry Regulatory Authority (FINRA) or by filing a lawsuit… [read post]
18 Oct 2010, 5:00 am
I am a certified mediator in Mississippi as well as a public arbitrator for the Financial Industry Regulatory Authority (FINRA) where I serve on arbitration panels deciding disputes in the securities field. [read post]
27 Oct 2017, 4:04 am
The claim against Fortis was subject to arbitration before the Financial Industry Regulatory Authority. [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]
