finra

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Original Technorati articles tagged “finra”

• in Finance
  Investment Firms Allowed to Use Social Media Under SEC/FINRA Rules
  Investment advising joins the 21st Century and engages in Social Media
  by paulkiser / on May 25, 2011
• in Finance
  SEC Recommendations Could Hurt Settlement Brokers
  SEC report suggest life settlements be treated as securities. Unfortunately, brokers will suffer.
  by amritafinancial / on Jul 30, 2010

Latest blogosphere posts tagged “finra”

 

• Citigroup pays $725,000 fine for analyst conflict

  
  Exhibit A Baltimore — Authority: 137
  WASHINGTON — An industry regulator fined Citigroup Inc. $725,000 for not disclosing conflicts of interest in the bank’s research division.The Financial Industry Regulatory Authority said Wednesday that Citigroup Global Markets failed to disclose the conflicts in reports that it published between January 2007 and ...
  2 weeks ago

• Financial Industry Regulatory Authority – FINRA

  
  Lead Serve — Authority: 117
  The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) in the United States, which was founded under the Securities Exchange Act of 1934. It was a successor to the National Association of Securities Dealers, Inc. (NASD). FINRA is the largest unit that independently regulates all ...
  2 weeks ago

• US Supreme Court Declines to Hear Standard Chartered v FINRA

  
  Sense on Cents — Authority: 482
  In the fall of 2009, I was asked by some Washington based attorneys if I was aware of a case known as Standard Chartered v FINRA. I informed them that I did not know the case. These attorneys shared with me information that seemed to expose that the merger of two regulators to form Wall Street’s current SRO FINRA ...
  2 weeks ago

• US Supreme Court Declines to Hear Standard Investment v FINRA

  
  Sense on Cents — Authority: 482
  In the fall of 2009, I was asked by some Washington based attorneys if I was aware of a case known as Standard Investment Chartered v FINRA. I informed them that I did not know the case. These attorneys shared with me information that seemed to expose that the merger of two regulators to form Wall Street’s current ...
  2 weeks ago

• Elevation, LLC fined by FINRA

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  Elevation, LLC, a FINRA registered broker-dealer based in Charlotte, North Carolina, recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings ...
  2 weeks ago

• Corby Capital Markets, Inc. fined by FINRA

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  Corby Capital Markets, Inc., a FINRA registered broker-dealer based in Boston, Massachusetts recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $100,000 and required to certify to FINRA in writing within 30 days of the issuance of the AWC that it currently has in ...
  2 weeks ago

• Securities Fraud Investigation Into Alternative Wealth Strategies’ Sale of Promissory Notes

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  Did you lose money in a promissory note investment sold to you by Alternative Wealth Strategies?  If so, The White Law Group may be able to help. FINRA recently announced that Alternative Wealth Strategies was censured and fined $75,000, which includes the disgorgement of $40,000 in commissions, relating to ...
  2 weeks ago

• Institutional Capital Management, Inc. fined by FINRA

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  Institutional Capital Management, Inc., a FINRA registered broker-dealer based in Houston, Texas, recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was fined $65,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that ...
  2 weeks ago

• How to Spot Investment Scams

  
  Narrow Bridge Adventures — Authority: 557
  FINRA , the major investment firm regulation organization in the United States, put together a helpful video discussing investment scams. I found the video interesting and useful. If you have any questions about investing, feel free to ask in the comments. How to Spot Investment Scams is a post from: Narrow ...
  2 weeks ago

• Did Mary Schapiro Engage in a Fraud?

  
  NO QUARTER — Authority: 420
  Will we learn in 2012 if Mary Schapiro, current chair of the SEC, and other then senior executives at the Wall Street self-regulatory organization, FINRA, engaged in a fraud? The case addressing this question, Standard Chartered v FINRA , has been appealed to the highest court in our land. As such, one might ...
  2 weeks ago

• 5 Compliance Issues Confronting Insurers In 2012

  
  Corporate Compliance Insights — Authority: 120
  Ensuring compliance with state and federal laws and regulations is a problem for insurers even in strong economic times. Set against a backdrop of possible political and economic uncertainty, 2012 will pose new and complex compliance challenges for insurers. As always, anticipating those challenges – and meeting ...
  2 weeks ago

• Raymond James Acquires Morgan Keegan

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  It is being reported that Raymond James Financial, Inc. has agreed to acquire Morgan Keegan & Company. According to the reports, the cost of the deal was put at $930 million, making it the largest acquisition in the history of the publicly traded Raymond James. Apparently, the hundreds of arbitration claims ...
  2 weeks ago

• How To Research Your Financial Advisor

  
  The White Law Group's Securities Fraud Blog — Authority: 113
  All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). FINRA makes available to the public information on all registered financial advisors, including information on a stockbroker’s employment history, whether he has been sued, how ...
  3 weeks ago

• Investment Professionals, Inc. – New York, NY – Bank Financial Advisor Opportunity

  
  hot job vacancy — Authority: 122
  Related ads Job Description Investment Professionals, Inc. (IPI) is seeking for an gifted Financial Consultant to paint rarely reputable sell bank. For roughly dual decades IPI has been a personality in a bank brokerage market, bringing a Financial Consultants a turn of personal courtesy as well as await unequaled ...
  3 weeks ago

• JPMorgan Chase – Montclair, NJ – Financial Advisor Associate

  
  hot job vacancy — Authority: 122
  Related ads Financial Advisor Associate- (Montclair, NJ)-100039077 Job Description As the Chase Investment Services Corp. (CISC) Financial Advisor (Associate), we will take as good as lower relations with clients by extensive needs formed selling as good as graduation of Investment products inside of the bend ...
  3 weeks ago

• Social Business- Navigating 2012

  
  Socialware Blog — Authority: 99
  Since the beginning of the year, I have read many 2011 highlights of social media. By all accounts, 2011 was an eventful year for social media in general, and specifically for the financial services industry with the rapid pace of firms and professionals moving from prohibition to participation and successful ...
  3 weeks ago

• Top 5 Corporate & Securities Blog Posts This Week

  
  PLI Securities Law Practice Center — Authority: 107
  Today we continue our weekly installment highlighting the best of the corporate and securities blogosphere from this past week. Highlights include diversifying the financial industry with women and minorities, a controversial appointment to the new consumer watchdog bureau, and the use of social media to commit ...
  3 weeks ago

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