Search for: "Financial Industry Regulatory Authority"
Results 9421 - 9440
of 11,239
Sorted by Relevance
|
Sort by Date
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]
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]
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]
21 Apr 2010, 2:14 am
In addition, the draft financial reform bill introduced by Senator Chris Dodd contains a provision that, if enacted, would provide significant financial rewards to whistleblowers for providing information leading to a successful enforcement action. [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]
16 Dec 2019, 3:59 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
17 Dec 2019, 8:40 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
13 Oct 2010, 8:46 am
FINRA Intends to Allow Option of All-Public Arbitration Panel The Financial Industry Regulatory Authority (FINRA) recently announced that it would seek to provide investors with the option of excluding industry representatives from the arbitration panel hearing their disputes with broker-dealers. [read post]
27 Aug 2014, 5:21 pm
., Des Moines; Legislative Director and Staff Attorney, American Civil Liberties Union of Iowa; Associate Attorney/Financial & Office Manager, Dickey & Campbell, PLCAdmitted to practice law in IowaTrevor Findley (Aumsville, Oregon) J.D., Cum Laude, Willamette University College of LawCertificates in Business Law, International and Comparative LawNote and Comment Editor, WILLAMETTE LAW REVIEWSenior Writer, WILLIAMETTE LAW ONLINEGraduate Certificate in Homeland Security/Defense,… [read post]
29 Mar 2023, 11:15 am
Laws, Rules, Feels Lawmakers and regulators responded to brewing S&L problems by loosening restrictions on the industry and ignoring the rules still in place. [read post]
27 Oct 2011, 7:20 am
Dishonest or unethical behavior is the most commonly reported industry violation. [read post]
28 Jan 2009, 9:40 am
Stephen Luparello, Interim Chief Executive Officer, Financial Industry Regulatory Authority; and Mr. [read post]
2 Jun 2020, 3:05 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
22 Apr 2023, 7:16 pm
On the other, business risk is substantially increased in the face of regulatory fracture--especially where the resulting regulatory landscape produces incompatible obligation. [read post]
20 Nov 2022, 9:53 pm
Some companies like Epic Games and Spotify started to speak out in public, and later brought antitrust complaints with regulatory authorities and/or (in Epic's case) private antitrust litigation.Is Elon Musk also contemplating the next step--"a possible standoff with Apple Inc. and Alphabet Inc. [read post]
9 Apr 2014, 11:07 am
More than three million truck drivers in the United States are facing a regulatory upheaval which will cost the industry an estimates $2 billion and change the ways in which many truck drivers operate. [read post]
3 Jan 2017, 6:31 am
Three federal courts of appeal have now narrowly construed the exemption in a manner contrary to the reading given it by regulatory agencies. [read post]
12 Feb 2020, 7:23 am
Ranking Member Andy Barr (R-Ky), scoffed that the hearing was a "thinly veiled attempt to slow the regulatory process" because the majority party does not like "the regulators who are writing the rules. [read post]
18 Sep 2017, 7:25 am
One panelist recalled clients complaining that no registered broker member of the Financial Industry Regulatory Authority would take their calls. [read post]
28 May 2024, 7:30 am
Not so, claim the powerful industry groups. [read post]
