Search for: "Financial Industry Regulatory Authority"
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15 Sep 2021, 10:00 pm
Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360. [read post]
4 Jan 2008, 4:41 am
The Financial Industry Regulatory Authority, which polices about 5,100 brokerages, sent letters Dec. 14 to more than a dozen firms that sell collateralized mortgage obligations, a [...] [read post]
4 Jun 2012, 5:25 am
The Securities and Exchange Commission has approved two proposals submitted by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) that are designed to address extraordinary volatility in individual securities and the broader U.S. stock market.Additional Materials... [read post]
10 May 2022, 10:49 am
Broker Kevin Mark Nevin, a previously registered broker and investment advisor, has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or other associating with any broker-dealer firm. [read post]
6 Jun 2023, 5:31 pm
., which lost a stunning $36 million claim last week to investors, said that the Financial Industry Regulatory Authority Inc. three-person panel erred in several ways in making its decision. [read post]
16 Jun 2023, 1:03 pm
The Financial Industry Regulatory Authority (Finra) has slammed a former Hightower executive with a one-year suspension for allegedly charging more than $6,000 in personal expenses to the company. [read post]
15 Sep 2021, 10:00 pm
Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360. [read post]
14 Jun 2023, 10:04 am
The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority rule that makes it tougher for brokers to clear client disputes from their records. [read post]
8 Apr 2010, 7:39 am
Financial Industry Regulatory Authority (FINRA) filed proposed changes to its Rules with the SEC intended to prohibit abuses in the allocation and distribution of shares in IPOs. [read post]
16 Aug 2018, 5:56 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the tenth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
2 Feb 2010, 4:02 am
Filings for arbitration at the Financial Industry Regulatory Authority (FINRA), the self-regulation body of Wall Street, are up 43% in 2009 over the previous year. [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]
4 Jun 2023, 1:49 pm
At the Financial Industry Regulatory Authority’s annual conference, enforcement leaders from the Securities and Exchange Commission and FINRA elaborated on some of the common problems they encounter during exams on compliance with both Reg BI and Reg BE.Reg BIOn Reg BI, Gurbir Grewal, the director of the SEC’s division of enforcement, noted an [...] [read post]
4 Jun 2023, 11:16 am
Morgan Stanley and two of its brokers will have to pay more than $300,000 over contract breach and other claims arising from the pair of advisors' departure from the broker-dealer affiliate of Huntington Bank in Ohio.A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley as well as James Patrick Riepenhoff and Frank [...] [read post]
30 Jul 2009, 9:46 am
FINRA, the Financial Industry Regulatory Authority, previously has cautioned its members over leveraged ETFs and that has been covered on this site. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
16 Jun 2023, 12:12 pm
While the Financial Industry Regulatory Authority is increasing the number of on-site exams it conducts, examiners will spend less time on-site, according to FINRA officials. [read post]
9 Jul 2012, 12:50 pm
Bloomberg reports that the Financial Industry Regulatory Authority (FINRA) summarily removed from its roster three arbitrators who served together on a case in which the investor was awarded more than $500,000 and has refused to even discuss the matter with the arbitrators, despite the absence of any impropriety. [read post]
14 Jun 2019, 3:07 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the eleventh annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
3 Sep 2024, 8:42 am
Former broker, Christopher Reynolds, was sanctioned by the Financial Industry Regulatory Authority for forging customers’ signatures on several annuity documents. [read post]
