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About 803 results for "finra"

FINRA Announces Effectiveness Of SWK Holdings Corporation Stock Split

FINRA Announces Effectiveness Of SWK Holdings Corporation Stoc...

Reddit Email Print Reprint DALLAS, Oct. 6, 2015 (GLOBE NEWSWIRE) -- On October 6, 2015, the Financial Industry Regulatory Authority, Inc. ("FINRA") announced on the Daily List the 1:100 reverse stock split followed by a 10:1 forward split ..., 1 day ago

NASAA gets new president, floats elder financial abuse rule

Like a rule proposed recently by FINRA, NASAA's plan allows BDs and advisors to delay disbursement of funds when financial exploitation against seniors is suspected. The North American Securities Administrators Association said Tuesday that Maine ...
 LifeHealthPro5 days ago Proposed FINRA rule would protect seniors  Bankrate.com2 weeks ago Wall St. watchdog's board approves plan to protect seniors from scams  Reuters2 weeks ago FINRA Floats Tougher Expungement Rules  AdvisorOne2 weeks ago

Meyer Wilson Clients Awarded Full Recovery At FINRA Arbitration

Reddit Email Print Reprint COLUMBUS, Ohio , Sept. 18, 2015 /PRNewswire/ --A Cleveland-based FINRA arbitration panel unanimously ordered Primesolutions Securities, Inc. and owner/president Victor L. Bull to pay damages amounting to more ...
 TheStreet.com2 weeks ago AI Insight Named Reseller Of FINRA E-Learning Courses  TheStreet.com3 weeks ago

Generational Capital Markets Announces The Acquisition Of Certain Assets Of Soto Industries, LLC By Kemira Chemicals, Inc.

DALLAS , Sept. 22, 2015 /PRNewswire/ -- Generational Capital Markets, Inc. , member FINRA/SIPC, ("GCM") an advisor to privately-held businesses for mergers & acquisitions, is pleased to announce the acquisition of certain assets of its client, Soto ...
 TheStreet.com2 weeks ago Chardan Capital Markets, LLC. Announces Hiring Of Michael E. Marrus To The Special Equities Group  TheStreet.com4 weeks ago

FINRA approves proposal to protect seniors from financial exploitation

Firms will be allowed to put on hold disbursement of funds or securities and alert a customer's trusted contact when they suspect manipulation, according to the proposal. The Financial Industry Regulatory Authority (FINRA), Wall Street's industry-funded ...
 Economic Times2 weeks ago

CGE Energy Announces FINRA Approval Of Name Change, Symbol Change And Reverse Stock Split

Reddit Email Print Reprint CGE Energy (As of date of this release, MKBY:OTCPink ) is pleased to announce that the Financial Industry Regulatory Authority ("FINRA") has approved the name change of the company from McKenzie Bay ...
 TheStreet.com3 weeks ago MetaStat Announces Reverse Stock Split in Preparation for a Proposed Uplisting to a National Market  SPi World News19 hours ago Westwood Funds Hires Jonathan Dale As National Accounts Director  TheStreet.com3 weeks ago Staffing 360 Solutions 1-for-10 Reverse Stock Split Effective Today  Yahoo! Finance3 weeks ago
Fat Pitch Financials

Former FINRA Regional Chief Counsel Andrew A. Favret Joins Oyster Consulting as Managing Director

RICHMOND, VA--(Marketwired - September 08, 2015) - Oyster Consulting announced today it has hired Andrew A. Favret as Managing Director, expanding the firm's services in the Southeast. The move continues Oyster's ascent as a regulatory and ...
 Fat Pitch Financials4 weeks ago

Weighed down by nonstop fines, LPL finally buys ounce of prevention by putting ex-FINRA veterans on its payroll

Brooke's Note: Are you among those who think that CEOs are overpaid? I go back and forth. But what is obvious is that every one of these chiefs is tormented by innovator's dilemma: they absolutely must seek the newest and best, especially in 2015, ...
 RIABiz1 day ago

FINRA says it gave failing grade to 208 test takers by mistake

The Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam. (Bloomberg) -- The Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
 LifeHealthPro6 days ago Finra Still Getting The Hang Of This Whole Exam Grading Thing  Dealbreaker1 week ago

FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End Funds

FINRA's Brad Bennett says UBS Puerto Rico operated in a unique economy and ultimately failed to tailor its supervisory systems to its specific business needs. The Financial Industry Regulatory Authority today censured UBS Financial Services of ...
 AdvisorOne1 week ago How UBS spread the pain of Puerto Rico's debt crisis to clients  LifeHealthPro2 weeks ago UBS Puerto Rico Losses Mount: Former Clients Win $3M  Financial-Planning Interactive1 month ago UBS Owes Former Clients $3M, Arbitration Panel Rules  On Wall Street1 month ago
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