Search for: "Financial Industry Regulatory Authority"
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12 Nov 2006, 1:22 am
Industry experts estimate that the gross financial regulatory costs to U.S. companies are 15 times higher than in Britain. [read post]
22 May 2008, 10:10 am
E*Trade Securities LLC, TradeStation Securities Inc. and CIBC World Markets Corp. have collectively been fined $1.6 million for their failure to fulfill their obligation to accurately report data about equity securities orders and ensure compliance with applicable Financial Industry Regulatory Authority regulations. [read post]
7 Nov 2011, 4:48 am
The enforcement chief of the Financial Industry Regulatory Authority, J. [read post]
18 Nov 2016, 11:03 am
Attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Christian Herrera (Herrera) alleging unsuitable investments and unauthorized trading among other claims. [read post]
9 Jan 2018, 3:45 pm
Schroeder, the Executive Vice President and Head of Enforcement at the Financial Industry Regulatory Authority, recently discussed FINRA’s Enforcement Department’s day-to-day activities and goals at an event sponsored by the Securities Industry and Financial Markets Association (“SIFMA”). [read post]
14 Apr 2014, 8:56 am
You may just be asking for some old-fashioned regulatory justice.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Kaori Hagihara submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 May 2015, 2:13 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Adam Robert Bollinger submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 May 2023, 11:19 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Morgan Stanley broker Michael R. [read post]
2 Sep 2016, 10:49 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
3 Nov 2021, 7:14 am
According to Advisor Hub and other industry news sources the Financial Industry Regulatory Authority levied sanctions against Merrill Lynch and two of its brokers over allegedly early rollovers of Unit Investment Trusts. [read post]
2 Sep 2016, 10:49 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
16 Sep 2016, 6:45 am
The investment fraud lawyers of Gana LLP are investigating the regulatory investigation filed by The Financial Industry Regulatory Authority (FINRA) against broker Scott Muirhead (Muirhead). [read post]
20 Sep 2016, 11:23 am
The securities lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker John Steffen (Steffen). [read post]
20 Sep 2016, 11:23 am
The securities lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker John Steffen (Steffen). [read post]
25 May 2011, 8:05 am
., told the Financial Industry Regulatory Authority (FINRA) in March of its plans to terminate its broker/dealer license. [read post]
5 Dec 2007, 7:44 am
The Financial Industry Regulatory Authority (FINRA) states that the purpose of the notice is "to urge firms to review and, when appropriate, enhance their policies and procedures for complying with FINRA sales practice rules, as well as other applicable laws, regulations and ethical principles, in light of the special issues that are common to many senior investors. [read post]
17 Aug 2017, 7:05 am
Absent repeal of the Section 113 determination authority, CCMC believes that exercise of the Section 120 recommendation authority, in coordination with a company’s or industry’s primary federal regulator, is a “more effective means of addressing systemic risk, promoting financial stability, and encouraging economic growth. [read post]
14 Jul 2009, 7:16 pm
According to the Financial Industry Regulatory Authority, the amount of investor fraud claims alleging securities fraud and other violations has grown. [read post]
21 Oct 2022, 2:09 am
With this release, important financial data and metrics are available to authorized Client Portal users on-demand and in real-time. [read post]
25 Sep 2017, 5:00 am
By John Filar AtwoodIn an effort to further the transition to a capital markets union with integrated financial supervision, the European Commission has issued plans to reform the European Union’s financial industry supervisory structure. [read post]
