Financial Industry Regulatory Authority

...according to a September Financial Industry Regulatory Authority report on the aftermath of both the Bernard Madoff and Stanford cases. FINRA is a private corporation that provides regulatory oversight of all securities firms...

In this article: R. Allen Stanford, Texas, SEC, Antigua, Bernard Madoff, Steve Ogden, and Senate Committee on Finance

...securities lending transactions in the U.S., and plans to expand into the European market through its relationship with Eurex Clearing. As a FINRA member broker-dealer and a SEC regulated alternative trading system, AQS aims to maximize...

In this article: Quadriserv, Options Clearing Corporation, SEC, Finra, Securities Act of 1933, and NYSE

...club." All told, in 2004 and 2005 Terra Nova made $1 million in improper payments to clients in a bid to keep their business, the Financial Industry Regulatory Authority said in a statement announcing the fine Monday. The regulator also...

In this article: Allegation and Chicago

...& Company logo is available at http://www.globenewswire.com/newsroom/prs/?pkgid=5711 C. K. Cooper & Company is a member of the Financial Industry Regulatory Authority, CRD number 106578. The information contained herein is not a...

In this article: C. K. Cooper & Company, Transocean, Irvine, California, and California

...-- MKHIX, HIFAX ATLANTA, Nov. 23, 2009 (GLOBE NEWSWIRE) -- On November 19, 2009, a Financial Industry Regulatory Authority (FINRA) arbitration panel award $370,000 in damages and assessed costs against Regions Financial Corp.'s (RF)...

In this article: Regions Financial Corp., Morgan Keegan & Company, Inc., and Atlanta, Georgia

...FINRA. The employment, qualifications and disciplinary history of more than 650,000 brokers under FINRA's jurisdiction are available. FINRA estimates there are more than 15,000 individuals who have left the securities industry after being...

In this article: SEC, Commodity Futures Trading Commission, and Washington

...regulators will make the records of actions they took against brokers permanently available to the public, broker-dealer watchdog Financial Industry Regulatory Authority said on Tuesday. Currently, a broker's record is no longer available...

In this article: US

...doubled, jumping to 89 cents per share. The next day, Uppal sold his holdings at 89 cents, netting a profit of nearly $12,000. FINRA said it found that Uppal was in possession of material, non-public information when he bought the stock. He...

In this article: Insider trading, California, Piper Jaffray, Infor Global Solutions, Golden Gate Capital, Barack Obama, and Rose Garden

...law firm of Dimond Kaplan & Rothstein, P.A. (http://www.dkrpa.com or http://www.investmentfraud-lawyer.com) has filed a number of FINRA arbitration claims to recover Medical Capital investment losses. The firm represents investors throughout...

In this article: Medical Capital Corporation, Finra, Morgan Stanley Smith Barney, Smith Barney, LPL Financial, Ameriprise, and Merrill Lynch

...to connect and interact with customers, Richard Ketchum, the chief executive of the Financial Industry Regulatory Authority (FINRA) said. But as these sites are currently designed they may not allow firms to keep the kind of archives...

In this article: Facebook, LinkedIn, Wall Street, and U.S.