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About 800 results for "finra"

Generational Capital Markets Wins 2015 M&A Advisor Award

Generational Capital Markets Wins 2015 M&A Advisor Award

DALLAS , Nov. 24, 2015 /PRNewswire/ -- On November 17 th , 2015 Generational Capital Markets, Inc., member FINRA/SIPC (GCM) was recognized by The M&A Advisor for its work on the following transaction: FINANCIAL SERVICES DEAL OF THE YEAR (OVER ... Town Hall, 23 hours ago

FINRA Cracks Down on Deutsche Bank Securities, Scottrade

While alleged acts of fraud by Wall Street firms have gotten the spotlight this year, financial services regulator, the Financial Industry Regulatory Authority (FINRA), is making the point with some firms that they need to maintain high standards ...
 Financial Technologies Forum1 day ago FINRA Files Complaint Charging Cantone Research Inc., President Anthony Cantone with Fraud  CNBC4 days ago DEUTSCHE BANK : Finra Fines Deutsche Unit $1.4 Million  4 Traders6 days ago Finra Fines Deutsche Bank Securities Unit $1.4 Million  Morningstar.com6 days ago

Correction to Finra-Deutsche Bank Story on Thursday

11-20-1511:44AMEST | Wall Street's watchdog group said it fined Deutsche Bank's securities unit $1.4 million for violating its short interest reporting rule. "Finra Fines Deutsche Bank Securities Unit $1.4 Million" at 12:21 p.m. ET Thursday ...
 Morningstar.com4 days ago

Aureus Inc. (ARSN: OTC Link/FINRA BB) | Deleted Symbol

OTC Markets | Official site of the OTCQX, OTCQB and OTC Pink Marketplaces featuring Free Stock & Bond Quotes, Trade Prices, Chart, Financials and Company News & Information for Investors, Companies and Traders -
 OTC Markets12 hours ago Axiom Holdings, Inc. (APYV: OTC Link/FINRA BB) | Deleted Symbol  OTC Markets2 days ago

LPL to Pay Treble Damages to Elderly Client

Marilyn Green and her daughter Melissa Green. | Photo courtesy of Jacobson Law A FINRA arbitration panel recently awarded an 82-year-old Florida resident and her daughtertreble damages, ruling LPL Financial and its broker failed to adequately ...
 WealthManagement.com21 hours ago

Ex-Morgan Advisor, in Unusual Move, Takes FINRA Arb Case to Federal Court

This copy is for your personal, non-commercial use only. To order presentation-ready copies for distribution to your colleagues, clients or customers, click the "Reprints" link at the bottom of any article. November 24, 2015 Few advisors appeal a ...
 AdvisorOne22 hours ago

FINRA asked to address shortfalls in proposed funding portal rules

[Back To Home] [Back To Archives] From Securities Regulation Daily , November 20, 2015 By John Filar Atwood The North American Securities Administrators Association (NASAA) is calling on the Financial Industry Regulatory Authority (FINRA) to ...
 Wolters Kluwer Law & Business23 hours ago

Finra's Susan Axelrod: Finding a job you love is what matters

My professional life started on Wall Street — a male-dominated environment that has evolved a lot over the course of my career — and that has shaped who I am personally and professionally. In the summer of 1987, after my first year of law ...
 Investment News3 days ago

Strong Opposition to Proposal from FINRA to Establish Margin Requirements for TBA MBS

 Inside Mortgage Finance4 days ago

Students Deliver Thanksgiving Food and Supplies for Injured Veterans Families

JACKSONVILLE, Fla. , Nov. 25, 2015 /PRNewswire-USNewswire/ -- Students from Grace Lutheran School visited the homes of several Wounded Warrior Project ® (WWP) Alumni members, delivering Thanksgiving baskets filled with holiday food. The students ...
 BioSpace14 minutes ago
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