Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 161 - 180
of 3,176
Sorted by Relevance
|
Sort by Date
26 Nov 2016, 6:05 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David White (White) currently associated with Centaurus Financial, Inc. [read post]
8 Nov 2017, 10:20 pm
On November 1, 2017, the Financial Industry Regulatory Authority (“FINRA”) disclosed that registered representative Masood “Mike” Husain Azad (“Mike Azad”) has been barred from the securities industry following a FINRA enforcement proceeding. [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
6 Aug 2013, 10:20 am
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, Ni Advisors, Inc. and Sui-Hock Goy submitted a Letter of Acceptance, Waiver and Consent (AWC), which FINRA accepted. [read post]
10 Jun 2023, 5:53 pm
The Financial Industry Regulatory Authority Inc. on Friday fined a five-person broker-dealer on Long Island $35,000 for a variety of shortcomings dating back to June 2020, when Regulation Best Interest became the standard of conduct for brokers registered with Finra. [read post]
4 Nov 2016, 11:24 am
The Financial Industry Regulatory Authority Inc. [read post]
7 Jun 2023, 8:00 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered UBS Financial Services Inc. to pay $252,627 to Dennis and Nadine Ainbinder, trustees of [...] [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
15 Jun 2015, 6:00 pm
An Arizona broker took advantage of a client who had Alzheimer’s according to a complaint filed by The Financial Industry Regulatory Authority Inc. [read post]
21 Nov 2011, 7:18 am
In fact, the Financial Industry Regulatory Authority Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
18 Sep 2013, 11:26 am
FINRA (Financial Industry Regulatory Authority, Inc.), the largest independent regulator for all securities firms doing business in the United States, has published guidance for broker-dealers in performing due diligence on EB-5 securities offerings or "private placements." [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
23 Aug 2010, 12:10 pm
On August 13, 2010, the SEC sent to the Federal Register for publication Release No. 34-62718 - a Notice that the Financial Industry Regulatory Authority, Inc. [read post]