Search for: "Financial Industry Regulatory Authority"
Results 9421 - 9440
of 11,239
Sort by Relevance
|
Sort by Date
29 Nov 2011, 12:02 pm
According to the Financial Industry Regulatory Authority (FINRA), Next Financial sold $20 million of three separate Provident private placements from July 2008 to January 2009. [read post]
29 Nov 2011, 9:42 am
The Financial Industry Regulatory Authority has ordered another 10 individuals and 8 financial firms to pay $3.2M in restitution to clients who were sold interest in risky private placements that were issued by DBSI, Inc., Medical Capital Holdings, Inc., and Provident Royalties, LLC. [read post]
29 Nov 2011, 7:29 am
Barney Frank (D-MA), Ranking Member of the House Financial Services Committee, Father of Financial Regulatory Reform, and 16-term Congressman announced today that he will not be seeking re-election in 2012. [read post]
29 Nov 2011, 6:00 am
(Next) submitted a Letter of Acceptance, Waiver and Consent (AWC) to settle claims by the Financial Industry Regulatory Authority (FINRA) that Next's due diligence was lacking in connection with its sale of more than $20 million of Provident Royalties, LLC private placements. [read post]
28 Nov 2011, 8:57 pm
The luster of Corzine's Goldman pedigree was not lost on the Financial Industry Regulatory Authority (FINRA) as they granted Corzine a waiver, from having to have a license to run MF Global. [read post]
28 Nov 2011, 1:16 pm
Taylor, who brought a securities fraud claim before a Financial Industry Regulatory Authority (FINRA) arbitration panel alleged that Securian “misrepresented the real estate investments as being safe” and also that “the firm failed to supervise its broker. [read post]
28 Nov 2011, 6:06 am
The Financial Services Authority levied a £14,000 fine and banned a compliance officer from performing any significant influence function in regulated financial services. [read post]
27 Nov 2011, 6:58 am
In September, the Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a six-month suspension against Brian Boppre, former president of Capital Financial Services. [read post]
24 Nov 2011, 10:49 am
On 22 November 2011, the Financial Services Authority (“FSA”) publicised that it had fined Dr. [read post]
24 Nov 2011, 7:44 am
The UK Financial Services Authority has fined and banned from the financial services industry a hedge fund compliance officer for breaching Principle 6 of the FSA’s Statements of Principle for Approved Persons. [read post]
23 Nov 2011, 1:24 pm
Chase Investment Services Corp. has been ordered to reimburse customers $1.92 million for losses they incurred after Chase Investment brokers recommended the customers purchase unsuitable unit investment trusts and floating rate loan funds, the Financial Industry Regulatory Authority (FINRA) announced on Nov. 15. [read post]
22 Nov 2011, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) imposed a $300,000 fine against Wells Investment Securities over misleading marketing tied to Wells Timberland REIT. [read post]
22 Nov 2011, 8:51 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Investment Securities, Inc. $300,000 for misleading investors about Wells Timberland REIT, Inc., a non-traded Real Estate Investment Trust (REIT). [read post]
21 Nov 2011, 8:09 am
When they do go, they think little of the long-term financial future they are mortgaging on a law degree. [read post]
21 Nov 2011, 7:18 am
In fact, the Financial Industry Regulatory Authority Inc. [read post]
20 Nov 2011, 6:44 pm
As of now, industry professionals have noted the complexity of US regulatory measures. [read post]
18 Nov 2011, 1:20 pm
Financial Industry Regulatory Authority intended to establish a formal basis for cooperation between the regulators and to facilitate the exchange of information . [read post]
17 Nov 2011, 3:39 pm
The internet is in the midst of an innovation boom that’s only going to keep going thanks to amazing economies of scale, an open network and a light regulatory environment. [read post]
17 Nov 2011, 1:14 pm
According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of designations implying special expertise in working with older investors. [read post]
17 Nov 2011, 8:06 am
The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice this month that contained the results of a survey of retail broker-dealer firms regarding the use and oversight of senior designations in an effort to better understand their approach to a vulnerable segment of the population. [read post]
