Search for: "Financial Industry Regulatory Authority"
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2 May 2011, 9:09 pm
Later this year, the Financial Industry Regulatory Authority ("FINRA") will put in effect new rules of conduct that narrow the gap between brokers' duties and investors' expectations of their brokers' responsibility. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
27 Apr 2011, 3:54 pm
This has a negative effect on the company's financial stability ratings with insurance rating firms and with regulatory department of state governments. [read post]
26 Apr 2011, 8:33 am
The Financial Industry Regulatory Authority's chairman and chief executive, Richard G. [read post]
26 Apr 2011, 5:34 am
In recent months, sales of private placements have been under the microscope by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2011, 7:47 pm
I set out to analyze the situation more closely and I began by profiling a sample of those individuals that had been shutdown by authorities for scamming homeowners, and those that I’ve come across quite willing to continue operating even though they are not operating legally. [read post]
25 Apr 2011, 3:58 pm
Ketchum, the chief executive of the Financial Industry Regulatory Authority, has overhauled the agency's enforcement division and plans new cases against financial firms. [read post]
25 Apr 2011, 12:17 pm
The Problem In recent years, due in part to the financial crisis and high rates of unemployment caused by Wall Street shenanigans, the United States has been in a foreclosure crisis. [read post]
25 Apr 2011, 7:50 am
The Financial Industry Regulatory Authority (FINRA) has suspended Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. [read post]
22 Apr 2011, 6:58 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [read post]
20 Apr 2011, 7:40 am
This Act, among other things, authorized significant appropriations for various federal agencies including the Department of Justice (“DOJ”), FBI, and SEC to hire new agents and staff to investigate and prosecute financial fraud. [read post]
18 Apr 2011, 4:40 pm
… Oh yeah - the nuclear industry and the federal government! [read post]
18 Apr 2011, 11:59 am
The FTC serves as the enforcement authority. [read post]
18 Apr 2011, 11:44 am
The FTC serves as the enforcement authority. [read post]
18 Apr 2011, 9:57 am
As the U.S. economy continues to recover from recession, it is clear that the judicial and regulatory landscape has changed for the financial community. [read post]
18 Apr 2011, 6:00 am
Several financial regulatory agencies released a proposed rule, under the Dodd-Frank Act, that would require many financial institutions to disclose the structure of their incentive-based compensation programs. [read post]
17 Apr 2011, 4:24 pm
Our law firm recently filed a securities arbitration claim before the Financial Industry Regulatory Authority (FINRA) on behalf of a Northern California woman who was encouraged by her investment advisor at Ameritas Investment Corporation to take out real estate loans so that she could invest in the IMH Secured Loan Fund, a private placement that was exempt from Federal securities registration requirements. [read post]
15 Apr 2011, 3:08 pm
Customers who purchased IMH Secured Loan Fund units through a securities broker may be able to recover damages by pursuing an arbitration claim before the Financial Industry Regulatory Authority (FINRA). [read post]
15 Apr 2011, 10:10 am
A report issued by the Senate Investigations Subcommittee urged the SEC to use its regulatory authority to rank credit rating agencies in terms of performance, in particular the accuracy of their ratings. [read post]
14 Apr 2011, 12:37 pm
On Monday, April 11, 2011, the Financial Industry Regulatory Authority (FINRA) announced that UBS had accepted and consented to a settlement deal in which UBS would pay a fine of $2.5 million and restitution in the amount of $8.25 million to certain investors for its misconduct regarding Lehman Brothers 100% Principal-Protection Notes sold by UBS. [read post]
