Search for: "Financial Industry Regulatory Authority"
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4 Jun 2023, 2:36 pm
The Public Investors Advocate Bar Association is pushing for more transparency around how arbitrators are selected in the Financial Industry Regulatory Authority forums by providing public explanations when arbitrators are substituted due to a conflict of interest. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
12 Jun 2023, 1:15 pm
The Financial Industry Regulatory Authority arbitrators grant expungement requests 90% of the time, according to a new analysis conducted by the Public Investors Advocate Bar Association (PIABA). [read post]
9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
2 Feb 2015, 12:00 am
The council is charged with reviewing initial decisions related to disciplinary and membership proceedings of the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2012, 11:54 am
Pacifici this morning passes along notice of some new GAO Reports on: Budget and Spending GAO Schedule Assessment Guide, GAO-12-120G, May 30, 2012Indigent Defense - Surveys of Grant Recipients, Select Tribes, and Indigent Defense Providers, GAO-12-661SP, May 30, 2012 Securities Regulation - Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority, [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
6 Jun 2023, 1:26 pm
The dispute was handled by the Financial Industry Regulatory Authority, or FINRA. [read post]
9 Jun 2023, 8:07 pm
A three-person Financial Industry Regulatory Authority Inc. arbitration panel in Boca Raton, Florida found the firm and former [...] [read post]
4 Oct 2011, 7:53 am
Raymond James customers paid nearly $1.7 million in excess commissions, according to the Financial Industry Regulatory Authority (FINRA). [read post]
8 Jun 2023, 5:18 pm
A new joint study from The Financial Industry Regulatory Authority (FINRA) and CFA Institute reveals a nuanced investing picture that defies generational stereotypes. [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]
17 Jun 2023, 3:40 am
The SEC and the Financial Industry Regulatory Authority (FINRA) on Tuesday again cautioned investors allocating to alternative assets in self-directed individual retirement accounts (IRAs), highlighting crypto as a risk. [read post]
1 Nov 2012, 3:43 pm
Forbes has an interesting article regarding the recent FINRA arbitration Lehman Brothers Holdings v Adam David Sloan (FINRA Arbitration 11-01774, October 17, 2012): In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Lehman Brothers sought to recover by the close of the hearing $357,142.86 in outstanding principal; $79,244.88 accrued interest; and $53,571.43 in collection… [read post]
11 Jun 2023, 3:26 pm
The Financial Industry Regulatory Authority Inc. announced last week that it has kicked off a machine-readable rulebook initiative. [read post]
19 Jun 2023, 7:10 pm
Source: ilikeyellow / Shutterstock.com It’s been several days since the Financial Industry Regulatory Authority (FINRA) suspended the trading of Meta Materials Preferred Shares (MMTLP). [read post]
4 Jun 2012, 11:31 am
The Securities and Exchange Commission is reportedly looking into the compensation paid to executives at the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jun 2024, 12:29 pm
Longtime broker-dealer, Oppenheimer & Co, Inc. found themselves in hot water with the Financial Industry Regulatory Authority, once again. [read post]
19 Dec 2015, 12:35 pm
The Financial Industry Regulatory Authority announced Friday it has fined the brokerage arm of Fidelity Investments for failing to detect an imposter broker who stole $1 million from clients.http://www.fa-mag.com/news/finra-fines-fidelity-for-failing-to-detect-imposter-broker-24311.htmlRelated articlesFINRA's Ketchum: 3 Top Exam Priorities for 2016 FINRA Focus on Elder Fraud [read post]
25 Jun 2017, 7:40 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
