Search for: "Financial Industry Regulatory Authority"
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16 Jun 2011, 2:38 pm
Other hedge funds and individuals are named in the documents from the Financial Industry Regulatory Authority, a self-policing body for Wall Street, these people said. [read post]
16 Jun 2011, 2:38 pm
Other hedge funds and individuals are named in the documents from the Financial Industry Regulatory Authority, a self-policing body for Wall Street, these people said. [read post]
15 Jun 2011, 8:37 pm
ST later Financial Industry Regulatory Authority arbitration claim against Credit Suisse. [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
12 Jun 2011, 8:07 pm
Prospective authors may also contact the Editors with proposals for planned submissions. [read post]
12 Jun 2011, 4:45 pm
In a bit of irony, he is a principal author of the 2010 Dodd-Frank act that attempts to reform the financial sector mainly by giving even greater discretion to the regulators. [read post]
10 Jun 2011, 3:38 pm
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) continue to warn that the so-called [read post]
10 Jun 2011, 4:48 am
If there is a flaw in the process, the flaw is that it allows stock manipulators to circumvent regulatory scrutiny. [read post]
9 Jun 2011, 7:29 am
Backgrounds of the new ‘non-solicitor’ members of the Society's Council : Martin Allan (Glasgow -construction industry and local authority officer) - career in the construction industry and holds two honours degrees in construction. [read post]
9 Jun 2011, 5:00 am
Regulatory authorities have delivered increasingly clear messages regarding the renewed focus on hedge fund and M&A insider trading. [read post]
8 Jun 2011, 5:54 am
According to Mike Finn, the director for the OTS’s northeast region, the OTS’s authority to regulate holding companies was intended to ensure the safety and soundness of the FDIC-insured subsidiary of AIG and not to focus on the potential impact on AIG of an uninsured subsidiary like AIG Financial Products. [read post]
7 Jun 2011, 11:54 pm
Northern Trust Securities has consented to pay a $600,000 Financial Industry Regulatory Authority fine over securities charges accusing it of failing to supervise collateralized mortgage obligation sales and lacking the systems set up to properly monitor certain high-volume securities trades. [read post]
7 Jun 2011, 4:48 am
Sullivan to strike this authorization was adopted," Waxman and Rush wrote. [read post]
6 Jun 2011, 12:46 pm
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
6 Jun 2011, 9:11 am
According to allegations made by The Financial Industry Regulatory Authority (FINRA) David Lerner Associates has sold and continues to sell Apple REIT Ten targeting unsophisticated and elderly customers to buy the illiquid security. [read post]
5 Jun 2011, 8:17 pm
The Securities and Exchange Commission (SEC) has joined with the Financial Industry Regulatory Authority (FINRA) to issue a joint Investor Alert to warn investors about complex financial products known as "structured notes with principal protection. [read post]
3 Jun 2011, 6:33 pm
Nobel prize-winning economist George Stigler warned long ago about “regulatory capture” — the tendency for regulated firms to get protection from their regulators — and the authors provide considerable evidence of it in this book. [read post]
2 Jun 2011, 1:21 pm
However, Omni is at the center of several arbitration claims filed by investors with the Financial Industry Regulatory Authority (FINRA) over failed DBSI deals. [read post]
1 Jun 2011, 12:48 pm
While financial advisers are selling the daylights out of high-yield structured products to investors who complain about low interest rates, the Financial Industry Regulatory Authority (FINRA) is warning them of the perils of such securities, according to Bruce Kelly [read post]
1 Jun 2011, 5:48 am
Comparing WTO Panelists and ICSID Arbitrators: The Creation of International Legal Fields Jose Augusto Fontoura Costa Abstract: Who are people who make the decisions in trade and investment dispute settlement systems? [read post]
