Search for: "Financial Industry Regulatory Authority"
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26 Jun 2011, 11:40 pm
Some of the evidence that has emerged about Morgan Keegan's treatment of certain investors may not be allowed into arbitration proceedings that were initiated earlier, Gretchen Morgenson writes in The New York Times, despite the brokerage firm's recent $200 million settlement with the Financial Industry Regulatory Authority. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
16 Sep 2011, 6:00 am
Petitioner filed a Financial Industry Regulatory Authority (FINRA) Arbitration Statement of Claim in September 2010 claiming alleged negligence, breach of contract, and breach of fiduciary duty.... [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
30 Dec 2015, 12:00 pm
A year-end report was released by the Financial Industry Regulatory Authority (FINRA) about the securities helpline for senior citizens. [read post]
14 Aug 2017, 12:51 pm
, THE PUBLISHER OF THE BROKEANDBROKER.COM BLOG:On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") announced that Stephen A. [read post]
28 Feb 2011, 3:01 pm
Sutherland Asbill & Brennan LLP announced that it completed its annual Sutherland FINRA Sanction Study – a review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons. [read post]
17 Dec 2010, 12:16 pm
Acording to the report's introduction: The Financial Industry Regulatory Authority (FINRA) significantly expanded and enhanced its investor protection and market regulation... [read post]
29 Feb 2012, 2:22 am
In a Financial Industry Regulatory Authority (? [read post]
31 Jan 2012, 6:00 am
Former Major League Baseball player Douglas Mirabelli and his wife, Kristin Mirabelli, won a major arbitration dispute with Merrill Lynch this week when a Financial Industry Regulatory Authority (Finra) Arbitration Panel ordered the firm to pay the couple more than $1.2 million for losses in their income portfolio. [read post]
28 Aug 2014, 11:53 am
FINRA Underpants Gnomes Miss Arbitration Phase 2September 5, 2014In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, FINRA member firm Claimant Kovack Securiti... [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
6 Oct 2009, 12:08 pm
The following is a statement by North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford regarding the expansion of the Financial Industry Regulatory Authority (FINRA) pilot program to allow certain investors making arbitration claims to... [read post]
1 Oct 2007, 3:57 am
Morgan Stanley Must Pay Millions For Withholding E-Mails"The Financial Industry Regulatory Authority this week said Morgan Stanley has to pay $12.5 million in fines to resolve charges that it mishandled e-mail. [read post]
18 Sep 2013, 11:26 am
FINRA (Financial Industry Regulatory Authority, Inc.), the largest independent regulator for all securities firms doing business in the United States, has published guidance for broker-dealers in performing due diligence on EB-5 securities offerings or "private placements." [read post]
11 Jan 2021, 11:19 am
FINRA Fines and Suspends Angel Bardeche after Allegations of Unsuitable Mutual Fund Switches According to a Letter of Acceptance, Waiver and Consent (AWC) on January 6, The Financial Industry Regulatory Authority has fined and suspended former Ameriprise Financial advisor Angel Bardeche, who allegedly generated $450,000 in commissions from unsuitable mutual fund switches. [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
12 Apr 2019, 2:57 pm
On April 5, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 19-10, which clarifies conduct regarding how brokerage firms and brokers should communicate with clients in the event a broker transitions to a new firm. [read post]
7 Mar 2016, 12:07 pm
An Arizona broker, David Joseph Escarcega, has been expelled from the industry by the Financial Industry Regulatory Authority (FINRA) for making unsuitable investment recommendations to clients. [read post]
