Search for: "Financial Industry Regulatory Authority"
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5 Jun 2023, 7:53 am
The Financial Industry Regulatory Authority shortly before the holiday break proposed rule changes to “enhance the transparency of the arbitrator selection” and other tweaks aimed at improving the resolution services it provides for disputes among brokerages, brokers and customers. [read post]
11 Jun 2023, 7:40 am
In July, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission that would allow [...] [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]
16 Dec 2011, 9:32 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Investments $2 million and ordered it to pay restitution to customers for unsuitable sales of reverse convertible securities, and other misconduct. [read post]
28 Sep 2020, 1:09 pm
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [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, 5:22 am
Morgan after several of his clients initiated Financial Industry Regulatory Authority (FINRA) arbitrations against him alleging trading violations has [...] [read post]
6 Oct 2010, 11:37 am
FINRA (the Financial Industry Regulatory Authority) recently issued an alert to investors regarding a sophisticated, social media-linked fraud. [read post]
7 Jun 2023, 4:56 pm
A Georgia Court of Appeals reversed a lower court’s decision that vacated a Financial Industry Regulatory Authority arbitration award in favor of Wells Fargo, with the court arguing that there was no evidence that the wirehouse had “manipulated” the arbitration pool in the original dispute. [read post]
17 Jun 2023, 12:31 am
The Financial Industry Regulatory Authority Inc. said Tuesday that it had penalized Morgan Stanley $698,000 for several years of failing to supervise brokers’ sales of high-risk securities, including a Chinese telecom stock. [read post]
23 Jul 2012, 7:27 am
Effective July 23, 2012, the Financial Industry Regulatory Authority (FINRA) rule relating to Simplified Arbitration, Rule 12800, will apply to arbitrations involving $50,000 or less, exclusive of interest and expenses. [read post]
14 Aug 2019, 2:08 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]
6 Apr 2021, 6:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Dawson James Securities, Inc. [read post]
11 Jun 2023, 2:34 am
The Financial Industry Regulatory Authority Inc. [read post]
19 Jan 2024, 8:59 am
The WRF is made up of the following regulatory authorities: Through the financial contribution of the CER, BCER, AER and Saskatchewan MER, Canadians are provided with no fee access to CSA ... [read post]
7 Jul 2011, 4:36 am
For the record, officials at the Commodity Futures Trading Commission, Securities and Exchange Commission and the Financial Industry Regulatory Authority would neither confirm nor deny any such probes. [read post]
11 Jul 2011, 6:54 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel in New York has awarded $880,000 to elderly clients of Phil Scott of Bank of America Merrill Lynch's Bellevue, Washington, office, who were unsuitably 100% invested in stocks, according to Dan Jamieson’s InvestmentNews article entitled “Merrill hit for $880K arbitration award. [read post]
11 Jun 2023, 9:22 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission to continue remote inspections through the end of 2023 or [...] [read post]
18 Jun 2018, 8:39 am
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]
10 Jun 2023, 3:14 pm
The Financial Industry Regulatory Authority Inc. reported $45 million in fines in 2022 compared to $103 million in 2021, Eversheds Sutherland said [...] [read post]
