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About 803 results for "finra"

Chevron Corporation (CVX) Stock Short Interest Update: How The Stock Can Rebound
Bidness Etc

Chevron Corporation (CVX) Stock Short Interest Update: How The...

short interest data was released by the Financial Industry Regulatory Authority (FINRA) on August 26. Bidness Etc discusses the short interest for Chevron Corporation ( NYSE:CVX ) and compares it with the preceding fortnightly period. The short ... Bidness Etc, 6 days ago
Celladon Corporation Short Interest Update OTC Outlook, 5 days ago

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Fidelity Brokerage Services LLC, 1 week ago
Nasdaq, 1 week ago
On Wall Street, 5 days ago
Broadway World, 1 week ago
LeapRate, 1 week ago
Business Insider, 1 week ago
4 Traders, 1 week ago
AdvisorOne, 1 week ago
AdvisorOne, 1 week ago
Reuters, 1 week ago
Seeking Alpha

Independent Brokerage Firms: BrokerCheck Tool Refines Analysis

Financial Industry Regulatory Authority (FINRA) tracks issues with major securities brokers, which can factor into evaluating major brokerages. Breaking these issues down by brokerage firm, and utilizing this data helps put these issues into ...
 Seeking Alpha2 weeks ago
TheStreet.com

Brian Kovack Wins Mid-Sized Firm Seat on FINRA Board of Governors

Your requested update has been submitted Our data partners will research the update request and update the information on this page if necessary. Research and follow-up could take several weeks. If you have questions, you can contact them
 Bloomberg4 weeks ago Securian Offers New Guaranteed Minimum Accumulation Benefit for Variable Annuities  SPi World News2 weeks ago Updated: Eaton Vance Closed-End Fund Data Now Available On Website  SPi World News3 weeks ago ReneSola and Pristine Sun to Form Joint Venture to Accelerate U.S. Project Development  SPi World News3 weeks ago
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Wells Fargo, LPL, Raymond James to reimburse $30 million in fund fees: FINRA

Three major securities brokerages must collectively reimburse customers more than $30 million for failing to waive mutual fund sales charges for thousands of accounts.
 Economic Times1 month ago
4 Traders

FINRA probes Merrill over anti-money laundering compliance

Wall Street's self-regulatory body has been probing Bank of America Merrill Lynch over its failure to detect the activities of a former financial adviser, who pleaded guilty to helping a client cover up an insider-trading scheme and launder the ...
 4 Traders1 week ago
AdvisorOne

FINRA Fines Aegis $950,000, Suspends Top Execs

Aegis will fork over $950,000 to FINRA. The Financial Industry Rgulatory Authority said Monday it was fining Aegis Capital $950,000 for improper sales of unregistered penny stocks, related supervisory failures and for its failure to implement ...
 AdvisorOne4 weeks ago FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations  Noodls4 weeks ago FINRA Fines Aegis Capital Corp. and#36;950,000 for Sales of Unregistered Penny Stocks and AML Violations  SPi World News4 weeks ago
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On Wall Street

UBS Owes Former Clients $3M, Arbitration Panel Rules

SEP 1, 2015 3:50pm ET A FINRA arbitration panel ordered UBS to pay a group of former clients approximately $3 million for damages related to the sale of closed-end funds consisting of Puerto Rico municipal bonds. Although UBS lost the ...
 On Wall Street4 hours ago
AdvisorOne

FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring Representatives

, FINRA solicited comment on a proposed rule (the proposed rule) that would require a firm to which a representative has recently transferred to provide material prepared by FINRA (the FINRA Disclosure Document) to customers of the transferring ...
 JD Supra4 weeks ago CFA's Roper Gives It to the Brokerage Industry  AdvisorOne1 day ago Panels Volley on DOL's Fiduciary Rule Impact  Insurance News Net3 weeks ago
On Wall Street

FINRA Fines Charles Schwab $2M

AUG 24, 2015 11:28am ET FINRA has fined Charles Schwab $2 million for net capital deficiencies and related supervisory failures. The events in question occurred three times in 2014, ranging from $287 million to $775 million, the Wall Street ...
 On Wall Street5 days ago FINRA imposes $2M fine on Charles Schwab over net capital deficiencies  LeapRate1 week ago Schwab censured for 2014 net capital deficiencies  TeleTrader.com1 week ago
AdvisorOne

FINRA Enforcement: Sterne Agee Fined Over Lost Laptop

Bad idea: Putting confidential client info on an unencrypted laptop. Among recent actions by the Financial Regulatory Authority were the censure and fine of Capital Guardian LLC for failure to investigate and follow up red flags on the ...
 AdvisorOne1 week ago
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