Search for: "Financial Industry Regulatory Authority"
Results 9801 - 9820
of 11,239
Sort by Relevance
|
Sort by Date
13 Apr 2011, 4:59 am
On April 11, a Denver, Colorado-based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded more than $54 million to two clients represented by the laws firms of Aidikoff, Uhl & Bakhtiari and Maddox, Hargett & Caruso. [read post]
12 Apr 2011, 5:36 pm
This week, the largest bank in Spain, Banco Santadar, is reported to have paid $7 million directly to investors and $2 million to the Financial Industry Regulatory Authority ("FINRA") to settle claims that it improper sold high-risk reverse convertibles to elderly, retired investors. [read post]
12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
12 Apr 2011, 1:34 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Denver has ordered Citigroup Global Markets, Inc. to pay over $54 million in damages for its abusive conduct in marketing and managing various investments including municipal bond hedge funds known as MAT/ASTA. [read post]
12 Apr 2011, 10:31 am
And the Financial Industry Regulatory Authority has begun a preliminary inquiry, “raising the possibility of still more financial and administrative penalties in the future. [read post]
12 Apr 2011, 9:20 am
The Financial Industry Regulatory Authority ("FINRA") recently fined Santander Securities of Puerto Rico $2 million for deficiencies in its structured product business, including unsuitable sales of reverse convertible securities, inadequate supervision of sales of structured products, and other violations related to the offering and sale of structured products. [read post]
12 Apr 2011, 8:36 am
The views expressed in this article are those of the individual authors. [read post]
11 Apr 2011, 5:43 pm
Broker/dealers involved in sales of private placements have been put on notice by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Apr 2011, 3:21 pm
In a letter to the Financial Stability Oversight Council, which Treasury chairs, Chairman Bachus said that any Volcker Rule regulations adopted by US financial regulators must be set against the international regulatory framework so as not to foster regulatory arbitrage. [read post]
11 Apr 2011, 10:50 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that misled some investors regarding the "principal protection" feature of the Lehman notes. [read post]
11 Apr 2011, 9:20 am
The Financial Industry Regulatory Authority has fined UBS $2.5 million, and required it to pay $8.25 million in restitution over the sale of structured notes backed by Lehman Brothers. [read post]
11 Apr 2011, 5:37 am
People call e-sports a new industry. [read post]
9 Apr 2011, 10:23 am
The Securities and Exchange Commission (SEC) has approved two rules proposed by the Financial Industry Regulatory Authority (FINRA) which will benefit investors. [read post]
8 Apr 2011, 10:00 pm
Also, federal deposit insurance changes will lower costs by $16.3 billion and lower TARP authority by $11 billion. [read post]
8 Apr 2011, 10:35 am
Top executives of various broker/dealers that sold private placements in Medical Capital Holdings and Provident Royalties have been fined and sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Apr 2011, 1:49 pm
According to a recent InvestmentNews article, the Financial Industry Regulatory Authority Inc. [read post]
6 Apr 2011, 2:02 pm
And the 10 Worst. - Florida lawyer Santiago Cueto of Cueto Law Group on his blog International Business Law Advisor Cleaning Up The Mortgage Meltdown: New SAFE Act Requirements For Employees In The Financial Industry - Seattle attorney Russell Terry of Foster Pepper on the firm's blog, Washington Workplace Law What Can a Judge Do About Your IRS Income Tax Dependency Exemption Dispute? [read post]
6 Apr 2011, 1:16 pm
The SEC announced that national securities exchanges and the Financial Industry Regulatory Authority (FINRA) today filed a proposal to establish a new “limit up-limit down” mechanism to address extraordinary market volatility in U.S. equity markets. [read post]
6 Apr 2011, 1:00 pm
" "The real estate industry in New York has always been at the forefront of embracing innovation that makes sense," said Steven Spinola, REBNY President. [read post]
4 Apr 2011, 10:37 am
The SFC plans to consult the market on the regulatory regime by the third quarter of 2011.Hong Kong regulatory authorities want to implement a trade repository and central counterparty regime for OTC derivatives in line with G-20 principles and harmonized with the Dodd-Frank Act derivatives regulatory provisions and the derivatives legislation that emerges from the European Union. [read post]
