Search for: "Financial Industry Regulatory Authority"
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24 Aug 2022, 9:38 am
Evan, who was reportedly fired in 2019 and barred by the Financial Industry Regulatory Authority (FINRA), allegedly aggressively sold variable annuities to his customers, while purportedly claiming not to be receiving commissions for the sale of those products, according to the regulator. [read post]
24 Oct 2022, 10:32 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]
25 Jun 2009, 3:20 am
" In addition to regulatory action, the trend toward better husbandry is being driven by consumer demand. [read post]
9 Dec 2021, 12:42 pm
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]
7 Aug 2018, 3:16 pm
Financial Conduct Authority (FCA) against three different U.K. insurers. [read post]
12 Feb 2021, 10:37 am
As at the time of instituting the various customer disputes, Jeffrey M Cohen was in the employment of a Financial Industry Regulatory Authority (FINRA) member firm Moloney Securities Co. and he is still a member of the firm as at the time of this investigation. [read post]
29 Jun 2021, 6:30 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
8 Aug 2023, 9:31 am
The failures involved employees at multiple levels of authority, including supervisors and senior executives. [read post]
1 Jul 2019, 1:03 pm
GPB Private Placement Fraud Claims In the last year alone, the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities regulators, and the FBI have opened investigations into GPB Capital and its private placements. [read post]
9 Jul 2010, 10:26 am
The award, in a decision by an arbitration panel of the Financial Industry Regulatory Authority issued on Thursday, may put other banks on notice to better scrutinize their hedge fund clients’ activities. [read post]
11 Oct 2021, 7:24 am
With the help of her lawyers, Beverley dragged her grandsons and JPMorgan in front of arbitrators from the Financial Industry Regulatory Authority, or Finra. [read post]
7 Aug 2018, 3:16 pm
Financial Conduct Authority (FCA) against three different U.K. insurers. [read post]
13 Jan 2011, 4:23 am
Now, here comes news from CQ Today Online News, an excerpt of which is below: A senior Republican House member unveiled legislation Jan. 10 designed to slow down the pace of federal rulemaking, adding to the growing GOP and industry calls for Congress to reassert authority over executive branch agencies. [read post]
28 Mar 2023, 4:04 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
2 Dec 2011, 6:29 am
None of the authors have a financial interest in any organization that could profit from the research presented here. [read post]
13 Feb 2013, 4:18 am
The expanded effort will be called “Enhanced Cybersecurity Services” and will seek to involve industry participation from critical infrastructure sectors such as utilities, telecommunications and financial services. [read post]
13 Feb 2013, 4:18 am
The expanded effort will be called “Enhanced Cybersecurity Services” and will seek to involve industry participation from critical infrastructure sectors such as utilities, telecommunications and financial services. [read post]
4 Aug 2017, 4:50 pm
Even before the nomination, Brummer held a prominent position as an adjudicator on the Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council (NAC) — a government-authorized self-regulatory system that has the power to effectively ban stockbrokers and others from the industry. [read post]
5 Jul 2024, 6:21 pm
These objectives require the involvement not only of public authorities but also of private actors, in particular companies [read post]
4 Oct 2010, 7:42 am
In 1976, Congress enacted a law that authorized EPA to strictly regulate their use, manufacture, cleanup and disposal. [read post]
