Search for: "Financial Industry Regulatory Authority"
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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]
17 Nov 2011, 7:37 am
Shortly after this judgment was entered, the Financial Industry Regulatory Authority (FINRA), an independent regulator of securities firms, ordered Vision Securities to cease all securities business because Vision Securities was net capital deficient. [read post]
17 Nov 2011, 7:37 am
Shortly after this judgment was entered, the Financial Industry Regulatory Authority (FINRA), an independent regulator of securities firms, ordered Vision Securities to cease all securities business because Vision Securities was net capital deficient. [read post]
16 Nov 2011, 1:29 pm
According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to “reimburse customers more than $1.9 million for losses incurred from recommending unsuitable sales of unit investment trusts (UITs) and floating rate loan funds. [read post]
16 Nov 2011, 6:16 am
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 11-52 (Notice) reminding its member firms of their supervisory obligations regarding the use of designations by their brokers that imply expertise, additional training or a specialty in advising elderly investors (senior designations). [read post]
16 Nov 2011, 6:11 am
JPMorgan Chase & Co. has been ordered by the Financial Industry Regulatory Authority (FINRA) to reimburse customers more than $1.9 million for losses that occurred from unsuitable investment recommendations. [read post]
16 Nov 2011, 5:37 am
The Financial Industry Regulatory Authority (FINRA) has fined Chase Investment Services Corporation (Chase) $1.7 million and ordered it to pay more than $1.9 million to customers as restitution for losses caused by its recommendation of unsuitable unit investment trusts (UITs) and floating-rate loan funds. [read post]
15 Nov 2011, 6:07 pm
On November 15, 2011 the Financial Industry Regulatory Authority (FINRA) entered into a settlement with J.P. [read post]
15 Nov 2011, 5:59 pm
An option would be to include the more detailed definitions and calculations in further guidelines to be developed by ESMA.Finally, the Director noted that the new Financial Conduct Authority will be the primary regulator of the UK hedge fund industry under the new regime replacing the FSA. [read post]
15 Nov 2011, 5:10 pm
Seniors are often an easy target for investment fraud – so much so that the Financial Industry Regulatory Authority (FINRA) is warning some broker/dealers about the use of designations that may imply special expertise in working with elderly investors. [read post]
14 Nov 2011, 10:18 am
The hedge fund industry supports the European Securities and Market Authority’s principles-based approach in draft guidelines on systems and controls in a highly automated trading environment for trading platforms and investment firms. [read post]
14 Nov 2011, 8:55 am
We have the SEC and FINRA to watch the financial industry and provide us with assurance that business is being conducted in a lawful manner. [read post]
14 Nov 2011, 8:32 am
According to a Financial Industry Regulatory Authority (FINRA) press release, “it has fined Morgan Stanley & Co. [read post]
14 Nov 2011, 7:50 am
Depending on the target or industry, the sale of a regulated entity in an auction process in Canada may present specific regulatory hurdles for certain non-Canadian buyers under the Investment Canada Act or for both Canadian and foreign buyers under other applicable Canadian federal or provincial legislation in certain regulated industries (e.g. transportation, financial services and insurance, telecommunications and agriculture). [read post]
13 Nov 2011, 7:41 pm
1) Congress will undoubtedly revisit the Dodds-Frank financial services legislation with unknown levels of more regulatory control being applied and subsequent pass-through of cost to the consumer, as well as determine the extent of the futures industry not using segregated accounts. 2) Bankers who loan money for hedging or margin accounts will likely ask many more questions revolving around the security of their money, should there be a recurrence of events. 3)… [read post]
13 Nov 2011, 7:14 pm
Dodd-Frank also establishes the Federal Insurance Office (FIO) with the authority to monitor all aspects of the insurance industry. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
11 Nov 2011, 10:03 am
., and its subsidiary Morgan Stanley Smith Barney LLC, have been fined $1 million and censured by the Financial Industry Regulatory Authority, or FINRA, for excessive markups and markdowns that were charged to customers on corporate and municipal bond transactions. [read post]
11 Nov 2011, 9:58 am
Our clients are now seeking damages through arbitration before the Financial Industry Regulatory Authority (FINRA). [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
