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5 Oct 2011, 5:37 pm
A fundamental weakness of a “self-regulatory” or “voluntary” model of press supervision is that it is only as effective as the number of industry members that sign up to it and agree to abide by the jurisdiction of whichever industry body is established to oversee it. [read post]
5 Oct 2011, 4:11 pm
This week the Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Public Non-Traded REITs-Perform a Careful Review Before Investing to help investors understand the benefits, risks, features and fees of these investments. [read post]
5 Oct 2011, 6:34 am
High fees and a lack of liquidity are just two reasons that non-traded REITs are in the hot seat with the Financial Industry Regulatory Authority (FINRA). [read post]
4 Oct 2011, 1:09 pm
This increased regulation would prove a significant financial hardship to those who raise cattle. [read post]
4 Oct 2011, 9:13 am
A contributor to the University of Kentucky’s continuing legal education manual on health care law, he is considered a statewide authority on Kentucky’s health care regulatory system. [read post]
4 Oct 2011, 8:22 am
On September 27, 2011, the Financial Industry Regulatory Authority (andquot;FINRAandquot;) obtained by Acceptance Waiver andamp; Consent (andquot;AWCandquot;), a permanent bar against former Wachovia Securities, L.L.C. and Wells Fargo Securities, L.L.C. stockbroker, Tom D. [read post]
4 Oct 2011, 7:53 am
Raymond James customers paid nearly $1.7 million in excess commissions, according to the Financial Industry Regulatory Authority (FINRA). [read post]
3 Oct 2011, 12:30 pm
District Court for the Eastern District of Michigan for his role in a scheme that used spam emails to fraudulently pump up the potential of thinly-traded Chinese, Israeli and Canadian microcap stocks, according to public disclosure records kept by the Financial Industry Regulatory Authority, or FINRA. [read post]
1 Oct 2011, 4:08 pm
The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. [read post]
29 Sep 2011, 3:16 pm
The author of this blog is Douglas McNabb. [read post]
29 Sep 2011, 3:16 pm
The author of this blog is Douglas McNabb. [read post]
29 Sep 2011, 1:38 pm
An SEC filing submitted last month by Edward Jones indicates that that the Financial Industry Regulatory Authority, or FINRA, and the state of South Dakota were investigating the former brokers as well. [read post]
29 Sep 2011, 12:35 pm
Securities regulators SEC (the Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority) have issued warnings to investors and to financial services firms that sales of structured securities products have hurt investors. [read post]
29 Sep 2011, 1:35 am
The legislation was largely authored by Congressman Jack Fields who was appointed to chair the subcommittee overseeing the securities laws. [read post]
28 Sep 2011, 5:30 pm
This regulatory body would be voluntary but wholly independent of the industry – a kind of Advertising Standards Authority (“ASA”) for the press. [read post]
28 Sep 2011, 1:28 pm
In April 2010, both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) filed lawsuits against McGinn Smith and its principals, alleging that from 2003 through April 2010, McGinn Smith committed an ongoing fraud against over 900 investors. [read post]
28 Sep 2011, 10:11 am
New proposals by U.S. equities exchanges and the Financial Industry Regulatory Authority call for halts across markets to be implemented when the Standard & Poor’s 500 Index falls by certain percentage increments: seven percent (7%), thirteen percent (13%), and twenty percent (20%) from the prior day’s close. [read post]
28 Sep 2011, 2:00 am
Here is an excerpt: Introduction The UK Government will be pushing ahead with its plans to reform the financial regulatory system in the United Kingdom in line with its initial proposals.[1] In addition to the white paper, the regulatory approaches to be adopted by the Prudential Regulation Authority (the “PRA”) and Financial Conduct Authority (the “FCA”) have been further detailed in two subsequent papers.… [read post]
27 Sep 2011, 4:03 pm
On September 7, 2011, the Financial Industry Regulatory Authority (FINRA) fined John Thomas Financial $275,000 for overcharging its customers. [read post]
26 Sep 2011, 12:18 pm
In late May, the Financial Industry Regulatory Authority (FINRA) filed a complaint against David Lerner Associates related to distribution and valuation issues. [read post]
