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By Soreide Law Group PLLC
In June of 2014, an investor in the Mustaphalli Capital Partners Fund filed an arbitration against Dean Mustaphalli and Sterne Agee Financial Services, Inc.

By Spillane Trial Group PLC
Spillane Trial Group PLC announced today that Kelsey Hotchkiss joined the business litigation boutique this month as an associate.

By Quest CE
Quest CE announced today that it would, for the fourth consecutive year, be an exhibiting partner at FINRA’s 2014 Annual Conference in Washington, D.C., May 19 – 21.

By AdvisorVault
The ongoing supervision of electronic records for SEC rule 17a-4 is a constant challenge for FINRA firms such as broker-dealers and registered investment advisors. AdvisorVault offers features to simplify this and ensure full compliance.

By Imbesi Christensen
The law firm Imbesi Christensen received notification that the UI Appeal Board upheld a hearing award issued in favor of the firm's client, a FINRA broker and personal banker, who subsequently filed a $750,000 FINRA arbitration (Case No. 013-19533)

By Quest CE
Quest CE, a leading provider of compliance management technology and continuing education training, announced today the highly anticipated debut of its securities licensing and registration platform, Bridge for Broker-Dealers.

By Imbesi Christensen
The law firm of Imbesi Christensen received notification that a FINRA Arbitration panel issued an award of $850,004.90 to the firm's clients after a hearing, for a FINRA arbitration claim filed in January of 2011.

By Quest CE
By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.

By Quest CE
As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.

By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the industry’s first self-serviced, social media archiving solution, Codex Express.

By Imbesi Christensen
In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.

By National Investment Review Institute
NIRI is Dedicated to Fixing the National $1.5 Trillion Variable annuity Problem

By Quest CE
Quest CE announced today that effective July 1, 2012 it will begin offering Compliance Email Archiving technology through a partnership with Simplicato Inc., the pioneer in providing Email Archiving and Hosting solutions.

By American Conference Institute
ACI’s Consumer Privacy Forum to host government officials, state attorneys general, representatives from consumer protection agencies, insurance industry leaders, in-house experts and attorneys specializing in data privacy and information security.

All Press Releases

By Soreide Law Group PLLC
In June of 2014, an investor in the Mustaphalli Capital Partners Fund filed an arbitration against Dean Mustaphalli and Sterne Agee Financial Services, Inc.

By Spillane Trial Group PLC
Spillane Trial Group PLC announced today that Kelsey Hotchkiss joined the business litigation boutique this month as an associate.

By Quest CE
Quest CE announced today that it would, for the fourth consecutive year, be an exhibiting partner at FINRA’s 2014 Annual Conference in Washington, D.C., May 19 – 21.

By Soreide Law Group PLLC
If your broker heavily invested you on margin in Puerto Rico bonds you may have a monetary claim against your broker.

By AdvisorVault
The ongoing supervision of electronic records for SEC rule 17a-4 is a constant challenge for FINRA firms such as broker-dealers and registered investment advisors. AdvisorVault offers features to simplify this and ensure full compliance.

By Imbesi Christensen
The law firm Imbesi Christensen received notification that the UI Appeal Board upheld a hearing award issued in favor of the firm's client, a FINRA broker and personal banker, who subsequently filed a $750,000 FINRA arbitration (Case No. 013-19533)

By Quest CE
Quest CE, a leading provider of compliance management technology and continuing education training, announced today the highly anticipated debut of its securities licensing and registration platform, Bridge for Broker-Dealers.

By Genovese Joblove & Battista, P.A.
For information contact: Laise Lowachee llowachee@gjb-law.com; 305-913-6678 GENOVESE JOBLOVE & BATTISTA ATTORNEYS SECURE $1.9 MILLION FINRA AWARD MIAMI, FL – August 8, 2013 - A securities arbitration panel awarded a Puerto Rico-based family represented...

By Imbesi Christensen
The law firm of Imbesi Christensen received notification that a FINRA Arbitration panel issued an award of $850,004.90 to the firm's clients after a hearing, for a FINRA arbitration claim filed in January of 2011.

By Quest CE
By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.

By Stuart D. Meissner LLC
Closed end fund , the Willow Fund, sold by UBS is closing down in June. Investors were allegedly defrauded by the fund manager, who improperly invested in credit default swaps in Europe and lost 89% of the value of the fund.

By Quest CE
MILWAUKEE – March 22, 2013 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the addition of a new firm element courses to its e-learning library.

By Imbesi Christensen
Attorneys Vincent Imbesi, Jeanne Christensen and Brittany Weiner, of the law firm Imbesi Christensen, represented the victorious FINRA broker.

By Quest CE
MILWAUKEE – March 18, 2013 - Quest CE, premier provider of insurance continuing education and FINRA firm element training, today formally announced the appointment of Linda Mieth-Krenke to the position of Chief Executive Officer (CEO).

By Koger, Inc.
As a leading provider of technology solutions to the financial services industry, Koger takes pride in staying current with the latest regulatory developments. One of the more recent developments in Koger products addresses FINRA Rule 5131(b).

By Quest CE
As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.

By AdvisorVault
The D3P requirement outlined in 17a-3 and 17a-4 poses difficulty for small broker-dealer firms. They need a provider that offers a consolidated solution to help them successfully pass FINRA audits and keep the cost of compliance under control.

By Imbesi Christensen
In the Matter of the FINRA Arbitration between Thomas Campbell, Claimant, vs. Sigma Financial Corporation, Respondent (FINRA Arbitration 10-00378). Expungement request granted after hearing.

By Imbesi Christensen
The law firm of Imbesi Christensen received notification of an award issued in favor of its client, a registered representative of FINRA, which overruled the Department of Labor's initial determination. See A.L.J Case No. 012-30087

By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at the National Society of Compliance Professionals Conference in Washington, D.C., October 22-24.

By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the industry’s first self-serviced, social media archiving solution, Codex Express.

By Imbesi Christensen
Forbes.com profiles FINRA arbitration decision granting expungement on behalf of broker

By Imbesi Christensen
In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.

By National Investment Review Institute
NIRI is Dedicated to Fixing the National $1.5 Trillion Variable annuity Problem

By The Soho Loft
Crowd funding expert David Drake has termed it “marvelous” that key figures including heads of FINRA, the SEC and Congressman Patrick McHenry (R-NC) are in support of the crowdfunding component of the JOBS Act.

By Quest CE
Quest CE announced today that effective July 1, 2012 it will begin offering Compliance Email Archiving technology through a partnership with Simplicato Inc., the pioneer in providing Email Archiving and Hosting solutions.

By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at FINRA’s 2012 Annual Conference in Washington, D.C., May 21 - 23.

By American Conference Institute
ACI’s Consumer Privacy Forum to host government officials, state attorneys general, representatives from consumer protection agencies, insurance industry leaders, in-house experts and attorneys specializing in data privacy and information security.

By The White Law Group, LLC
The White Law Group may be able to help some investors recover investment losses in the Behringer Harvard Short-Term Opportunity Fund through the FINRA dispute resolution process.

By The White Law Group, LLC
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Centaurus Financial, Inc. The claim seeks to recover losses of approximately $85,000.

By Michael Smith
Readysmith Advisers Limited has announced the release of a new version of its Readiness-as-a-Service offering designed to meet the unique needs of financial services organizations.

By Alex Krenke
Quest introduces the financial services industry’s first full service automated retail Firm Element Solution, allowing Broker/Dealers to manage all of their training and tracking needs online without the assistance of an outside training provider.

By The White Law Group, LLC
The White Law Group has filed an arbitration claim against Morgan Stanley involving possible misappropriation of client funds.

By 8000inc
Responses from the SEC to confirm receipt of naked short information and the Company’s offer to provide all shareholder testimonies and account holdings support its belief a naked short position exists. Can there be any excuse not to act?

By 8000inc
8000 Inc. would like to bring the shareholders up to date with all matters relating to the current situation, decisions made and management’s assessment of the future of the Company.

By Alex Krenke
Quest CE has authored three new courses for their 2011 Firm Element Course Catalog

By Kaufman Dolowich Voluck & Gonzo LLP
The law firm of Kaufman Dolowich Voluck & Gonzo LLP (“KDVG”) has announced the opening of its seventh office, located in Boca Raton, Florida, effective May 2, 2011.

By 8000 Inc
Statement to 8000 Inc (EIGH.pk) shareholders relating to the share exchange and cancellation of all issued company stock and verification of shareholders of record update.

By Actiance- (Formerly FaceTime)
Agreement allows industry to use LinkedIn to propel sales and marketing while ensuring compliance with FINRA, IIROC and FSA rules

By Positive Stocks
FINRA Sets Revised Rule on Private Placements by FINRA Member Firms Corporate & Finance Alert (Thomas More Griffin) March 10, 2011

By 8000inc
Applicable regulatory rules (SEC Rule 15c3-3 under the Securities Exchange Act of 1934 and FINRA Rule 4320) require broker-dealers to close out all short positions immediately. Details of which are addressed below.

By The White Law Group, LLC
The White Law Group has filed a FINRA Statement of Claim alleging fraud and attempting to recover Desert Capital and DBSI investment losses on behalf of two retired investors.

By Alex Krenke
Quest CE announces their new Firm Element Training course titled Forex Currency Trading. The course is available in their 2011 course catalog.

By Alex Krenke
Quest CE’s industry leading Outside Business Activity Tracking Solution is compliant with the new FINRA Rule 3270.

By Society of Certified Senior Advisors
As a professional in the securities industry or a registered investment advisor, you need to make sure you know about and understand the new changes coming to advertising and disclosure.

By AdvisorVault.org
Securities firms using Laserfiche as their document management solution face challenges properly protecting the data associated with this program. Broker-dealer firms, for example, must incorporate rules 17a-4 and the D3P into their backup strategy

By John Drachman, Advisolocity
This week, Unified Fund Services, a subsidiary of Huntington Bank, announced its sponsorship of a webinar for financial advisors and fund marketers on August 3 called "Using Social Media."

By Alex Krenke
Quest CE announces the creation of the industry’s first automatic price quote generator for Firm Element Programs. This new online application is free and easy to use, offering instant and accurate results.

By Alex Krenke
Quest CE unveils their new Content Builder. The tool will allow administrators to build a custom on demand catalog that specifically meets the needs of their company. The tool is free to use and available to everyone.

By Yvonne I. Pytlik, Managing Partner, Chair of BOD
‘Enterprise Risk Management — 2010 and Beyond Forward Looking Approach by Asset Managers’ is a series of publications dedicated to regulatory developments and industry best practices in the enterprise risk management and compliance risk.



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