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Washington, DC - The FINRA Investor Education Foundation Military Spouse Fellowship Program has opened the application process for new fellows, and military spouses can apply until April 30, 2010.
The Chartered Institute for Securities & Investment (CISI), the ICMA Centre at the Henley Business School and the Financial Industry Regulatory Authority (FINRA) of the US announce that they have joined forces to support and enhance education, training and certification in financial compliance.
Forte and Lawrence Exploited Elderly Client to Generate More Than $9 Million in Commissions in Less Than One Year
WASHINGTON—FINRA today announced it has barred Ami Forte and Charles Lawrence of Florida for their respective roles in churning accounts belonging to a 79-year-old customer who suffered from severe cognitive impairment.
Forte first met the customer (identified as “RS” in the
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today the expansion of its two-year pilot program that gives investors who are filing eligible claims the opportunity to select an arbitration panel composed of three public arbitrators instead of two public and one non-public.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has barred Tamara Lanz Moon of Redwood City, CA, from the securities industry for wrongfully taking over $850,000 in funds from at least 22 customers, including her own father.
Additional Violations Included Unreasonable Charges for Bond Trades; Former Chief Compliance Officer Fined and Suspended
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
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Legal & Compliance
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Branch Office Definition
Rule ModernizationRule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Investment Analysis ToolsRule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the public.1 NASD staff has
WASHINGTON — FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA's Complaint Center and FINRA's Whistleblower program – since its creation 10 years ago