Search for: "Financial Industry Regulatory Authority"
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17 Apr 2019, 5:38 am
Also, the Financial Industry Regulatory Authority (Finra) has barred brokers such as MML Investors representative Floyd Powell and Quest Capital Strategies broker Frank Dietrich for selling millions of dollars in Woodbridge promissory notes to investors. [read post]
24 Sep 2015, 3:03 pm
App – Dallas, September 18, 2015), a securities broker and Financial Industry National Regulatory Authority (“FINRA”) member, Esposito, provided a group of customers, Nemaha Water Services, with assistance in locating investors. [read post]
25 May 2011, 8:34 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]
1 Feb 2023, 7:01 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]
24 Aug 2020, 9:41 am
Our firm is seeking to uncover the cause of this sudden shift in the Vida Longevity Fund’s performance and determine if 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 securities litigation in federal court. 5 Important Facts for Investors Looking for Reviews of the Vida Longevity Fund If you are a current,… [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]
21 Oct 2020, 11:44 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]
17 Apr 2018, 5:19 pm
This comes after Polese was reportedly barred by the Financial Industry Regulatory Authority (FINRA), and fired by Morgan Stanley last June, according to his broker report. [read post]
23 Sep 2024, 7:37 am
Regulatory concerns regarding dark patterns continue to spread to every corner and industry with other regulators like the Consumer Financial Protection Bureau (CFPB) weighing in. [read post]
7 Nov 2023, 2:27 pm
Local authorities will have the authority to issue on-the-spot fines to retailers found in violation of these regulations, contributing to greater adherence and regulation within the industry. 5. [read post]
12 Jul 2012, 4:18 pm
Meantime, seeking to generally move investors’ claims forward faster, the Financial Industry Regulatory Authority has launched a pilot arbitration program that will specifically deal with securities cases of $10 million and greater. [read post]
16 Jan 2019, 8:00 am
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
22 Sep 2020, 12:35 pm
At the time, the recourse granted to Ross was to file an arbitration complaint against Bear Stearns through the Financial Industry Regulatory Authority, Inc. [read post]
3 Aug 2017, 6:06 am
In its report, the SEC also clarified that The DAO offering would not fall under the JOBS Act’s crowdfunding exemption because, among other things, “it was not a broker-dealer or a funding portal registered with the SEC and the Financial Industry Regulatory Authority. [read post]
26 Sep 2017, 1:56 pm
A lawsuit brought by the payday lending industry, challenging Operation Chokepoint, is ongoing. [read post]
28 Apr 2017, 8:37 am
Using data from the Financial Industry Regulatory Authority, a team of technologists affiliated with the left-wing magazine New Inquiry created the open-source tool so that anyone can put a face on the labyrinthian world of white collar crime hidden in their own home town. [read post]
26 Sep 2019, 11:10 pm
The SEC oversees over 27,000 market participants, including investment advisers, mutual funds and exchange traded funds, broker-dealers, national securities exchanges, credit rating agencies, clearing agencies, the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Financial Accounting Standards Board (FASB). [read post]
15 Apr 2021, 8:32 am
National Securities Corporation is a Financial Industry Regulatory Authority (FINRA) member firm, and Michael Kokoskie was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
22 Feb 2008, 6:10 am
Last month, the Mahers filed a claim with the Financial Industry Regulatory Authority against Lehman Brothers. [read post]
16 Aug 2011, 5:08 am
The Commission has had the authority to adopt a large trader regime for 20 years. [read post]
