Search for: "Financial Industry Regulatory Authority"
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19 Mar 2011, 5:43 am
The class action lawsuit, as well as numerous arbitration claims filed with the Financial Industry Regulatory Authority (FINRA), involves private-placement deals in Medical Capital Holdings and Provident Royalties. [read post]
19 Mar 2011, 3:22 am
Minor's previous positions include serving as Senior Counsel for the Financial Industry Regulatory Authority (FINRA) from 2005 to 2009, where he took a lead role in a task force investigating subprime lending and mortgage-backed securities abuses. [read post]
18 Mar 2011, 3:54 pm
This month, the Financial Industry Regulatory Authority (FINRA) reprimanded First Clearing, LLC, a St. [read post]
18 Mar 2011, 5:46 am
Sutherland Asbill & Brennan LLP recently announced the results of its 2011 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) against... [read post]
17 Mar 2011, 10:06 am
” Minor most recently served as chief of the New Jersey Attorney General’s securities bureau and previously worked in the Investor Protection Bureau during the tenure of former New York Attorney General Eliot Spitzer from 2002 to 2004, was director & enforcement counsel at the Philadelphia Stock Exchange from 2004 to 2005 and was senior counsel at the Financial Industry Regulatory Authority, or Finra, from 2005 to 2009. [read post]
17 Mar 2011, 9:39 am
Section 922 of the Act, among other things, confers jurisdiction on the courts, rather than to a Financial Industry Regulatory Authority (FINRA) arbitration panel, by voiding arbitration provisions in employment agreements that purport to force an employee to arbitrate, rather than litigate disputes arising under Section 806 of SOX. [read post]
17 Mar 2011, 8:02 am
The Dodd-Frank Act creates a whistleblower program that provides significant financial incentives for individuals to report securities and commodities law violations to the SEC and the CFTC. [read post]
16 Mar 2011, 10:19 am
This was likely standard practice for many businesses already – industry groups have had similar requirements for their members for years, such as the Payment Card Industry Data Security Standard. [read post]
16 Mar 2011, 9:45 am
In a letter to Treasury Secretary Tim Geithner, House Financial Services Chair Spencer Bachus (R-Ala) questioned what role the Consumer Financial Protection Bureau had in drafting the proposals involved with a settlement of allegations of improper mortgage services procedures and what specific legal authority would permit an official associated with the Bureau, which does not have regulatory or enforcement authority, to participate in settlement… [read post]
16 Mar 2011, 8:31 am
Financial Industry Regulatory Authority (FINRA) warned in a a statement that con-artists have been pitching fake investments in Facebook and other "well-known social media companies. [read post]
16 Mar 2011, 4:31 am
“While most pre-IPO offerings are legitimate, some are frauds in which con artists sell shares they do not actually have,” the Financial Industry Regulatory Authority said Tuesday in a statement. [read post]
15 Mar 2011, 4:01 pm
Financial Industry Regulatory Authority (FINRA) said. [read post]
15 Mar 2011, 8:00 am
Wall Street Journal reporter Suzanne Barlyn published an article describing the deficiencies in the public disclosure of background information about securities industry professionals through the BrokerCheck service offered by the Financial Industry Regulatory Authority ("FINRA"). [read post]
14 Mar 2011, 1:27 pm
Sec. 922 confers jurisdiction on the courts, rather than to a Financial Industry Regulatory Authority (FINRA) arbitration panel, by voiding arbitration agreements. [read post]
14 Mar 2011, 2:59 am
In 2008, the European Food Safety Authority released a report saying that there was "no indication that differences exist in terms of food safety for meat and milk of clones and their progeny compared with those from conventionally bred animals. [read post]
13 Mar 2011, 3:46 pm
In the face of such massive losses, Ameriprise's agreement to settle may have been prompted by a $1.2 million award a MedCap investor won against Ameriprise in an arbitration hearing before the Financial Industry Regulatory Authority ("FINRA"). [read post]
11 Mar 2011, 9:31 am
Their popularity has caused the Financial Industry Regulatory Authority ("FINRA"), which regulates brokerage firms and their registered representatives, to issue stern warnings against selling the products to typical retail investors. [read post]
11 Mar 2011, 1:23 am
The Financial Services and Treasury Bureau of Hong Kong recently published a Consultation Paper entitled “Proposed Establishment of an Independent Insurance Authority” (Consultation Paper), with a proposal to establish a new insurance regulatory authority which is both financially and operationally independent of the Hong Kong Government, and to give the independent body more supervisory powers over the industry.Current Regulatory… [read post]
10 Mar 2011, 1:22 pm
In order to operate a risk-based examination program that effectively identifies and carefully reviews the major risks, he added, the Division will need more examiners, industry expertise and further technological resources.The financial crisis revealed the need for better oversight of risk at the board and senior management levels, and the need for stronger independence, standing and authority among a firm's internal risk management, control and compliance functions.… [read post]
10 Mar 2011, 6:52 am
It would politicize our financial system. [read post]
