Search for: "Financial Industry Regulatory Authority"
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21 Feb 2022, 9:03 pm
The ECA had earlier highlighted this issue in 2018, arguing then that the structure of regulatory authority leads to inconsistent enforcement of air passenger rights. [read post]
18 Feb 2022, 11:10 am
This position also includes navigating legal processes, regulations, and compliance within the cannabis industry. [read post]
18 Feb 2022, 9:23 am
Legal and Regulatory Developments SPOTLIGHT: Visa Had a Monopoly on Payments at the Olympics for 36 Years. [read post]
18 Feb 2022, 3:00 am
Other past presidents have cashed in financially after leaving the White House. [read post]
17 Feb 2022, 1:03 pm
[This kind of holding is a disastrous route to claim laundering and doesn’t make the supplement industry look any better.] [read post]
16 Feb 2022, 9:03 pm
This question has divided financial regulators in recent years. [read post]
16 Feb 2022, 12:32 pm
For the last 35 years, retail investors seeking recovery of stock market investment losses have had no other choice but to arbitrate their disputes at the Financial Industry Regulatory Authority (FINRA). [read post]
16 Feb 2022, 3:00 am
Japanese Investor is Requesting Up to $500K in Damages Another investor in Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Bankoh Investment Services over her Northstar Financial Services (Bermuda) losses. [read post]
15 Feb 2022, 7:27 am
To recognise whether cooperation pursuant to the MoU is working, senior representatives from the FCA, BoE, PRA and PSR relied on feedback from industry and regulatory practitioners from each organisation. [read post]
11 Feb 2022, 12:21 pm
Ross presents a question of voting rights in special regulatory elections. [read post]
11 Feb 2022, 10:52 am
The Financial Crimes Enforcement Network is still in the process of developing industry-specific rules for the antiquities market. [read post]
11 Feb 2022, 8:25 am
The Financial Industry Regulatory Authority (FINRA) was investigating the possible conversion and improper use of customer funds after several customer lawsuits were filed against Morgan Stanley alleging that Cohen mismanaged their accounts and was selling away securities not approved by the firm through third-party loans, according to public documents on FINRA’s website. [read post]
10 Feb 2022, 10:30 am
Employers Are Not Authorized to Require Employees to Draw Down Leave for Rea [read post]
9 Feb 2022, 11:27 am
Cottone was permanently barred by the Financial Industry Regulatory Authority (FINRA) in 2018. [read post]
8 Feb 2022, 4:50 pm
FINRA Award: UBS to pay Investors $1.9 Million This week a Financial Industry Regulatory Authority (FINRA) arbitration panel has again ruled in favor of investors who claim they were improperly placed in the in-house options trading strategy sponsored by UBS. [read post]
8 Feb 2022, 2:21 pm
Edwards based her ruling in part on grounds that the Financial Industry Regulatory Authority administrators had allowed Wells Fargo and an outside lawyer to “manipulate” the arbitrator selection process. [read post]
8 Feb 2022, 12:58 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Couture last October after LPL reportedly submitted a Form U5 terminating his registration and alleging that he altered identifying information, account balances and distributions in customer account statements; and used an unapproved email address. [read post]
8 Feb 2022, 6:43 am
In the panel discussion on ESG Developments in Financial Markets, Tracey Wingate noted industrywide surveys conducted by the Investment Company Institute and Independent Directors Council (IDC) which drive home the need for greater representation of women and minorities at all levels of the asset management industry. [read post]
7 Feb 2022, 3:58 am
” PBOC and the Shanghai office of the China Banking and Insurance Regulatory Commission were, both, targeted in December. [read post]
5 Feb 2022, 12:03 pm
If So, You Should Discuss Your Legal Rights with an Attorney The Financial Industry Regulatory Authority (FINRA) is a government-authorized organization that oversees securities brokers and brokerage firms in the United States. [read post]
