Search for: "Financial Industry Regulatory Authority"
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30 May 2017, 6:55 am
Webb and Beversdorf signed employment contracts with Jeffries in which they agreed to arbitrate claims brought with respect to matters related to their employment or the agreement before the Financial Industry Regulatory Authority (FINRA). [read post]
7 Sep 2013, 7:42 am
Before investing, investors should also make sure that the person promoting the oil and gas venture is a registered broker with SEC and the Financial Industry Regulatory Authority (FINRA). [read post]
30 May 2018, 8:08 am
This problem puts EU-based industry at a disadvantage vis-à-vis manufacturers located outside the EU, not only in global markets, but also in day-1 EU markets. [read post]
26 Jan 2023, 6:52 am
On June 14, 2022, we reported that the Financial Industry Regulatory Authority (FINRA) barred Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation to reports that Liddle allegedly borrowed more than $1.8 million from at least 13 of his customers while he was associated with his member firm, according to FINRA. [read post]
7 Jul 2010, 8:15 am
While class actions lawsuits are appropriate avenues of recovery for investors seeking low-percentage recoveries of losses that are too small to justify individual arbitrations, many investor who lost significant amounts have engaged counsel to seek recovery in Financial Industry Regulatory Authority (FINRA) arbitration cases. [read post]
22 Mar 2021, 8:20 am
Lyons was barred indefinitely in all capacities by the Financial industry Regulatory Authority (FINRA) in June 2018. [read post]
13 Jan 2012, 11:25 am
The Financial Industry Regulatory Authority (FINRA) continues to pay close attention to issues related to non-traded REITs, including how they are sold and valuated. [read post]
25 Mar 2020, 7:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Roger Owens (Owens) appears to be an agent for Woodbridge fraudulent note sales. [read post]
2 Aug 2022, 9:00 am
Organizations should also be aware of sector-specific statutory obligations which may apply to them, for example in health or financial services industries. [read post]
20 Oct 2023, 8:06 am
The Financial Industry Regulatory Authority Inc. [read post]
3 Jan 2011, 5:39 pm
I'd only add that we'd be even better off if the US adopted more pro-growth tax and regulatory policies. [read post]
26 Jun 2012, 3:02 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
13 Jul 2020, 2:29 pm
Stamer or her health industry and other experience and involvements, see http://www.cynthiastamer.com or contact Ms. [read post]
13 Oct 2023, 12:12 pm
Recall that the issue in Relentless—as in Loper Bright—is whether the Magnuson-Stevens Act authorizes the government to make the fishing industry pay for the federal monitoring staff on fishing boats. [read post]
10 Mar 2021, 1:32 pm
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm, and Cindy Chiellini is a member of the firm as at the time of this investigation. [read post]
10 Mar 2021, 1:32 pm
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm, and Cindy Chiellini is a member of the firm as at the time of this investigation. [read post]
20 Jul 2017, 4:34 am
They are generic in nature and not tailored or intended to be relied upon by any person, business, entity or other party for purposes for determining the legal, financial or other appropriateness, defensibility, suitability, outcome or consequences of any strategy, action, course of action, or any other facts, circumstances, event or conduct. [read post]
20 Aug 2017, 3:29 pm
The publisher and the author expressly disclaim [read post]
8 May 2008, 2:01 pm
Several judges appeared concerned about eliminating broad categories of invention such as computer software or financial industries. [read post]
23 Jun 2019, 9:05 pm
A new report prepared by the STB’s Rate Review Task Force recognizes the dramatic improvement in the financial health of the railroad industry and the growing market power the railroads have over their customers. [read post]
