Live Trade Binary Option

FINRA is currently working to finalize new rules for... Fri, 30 Oct 2015 09:53:44 -0700 - ThinkAdvisorFINRA CEO Richard Ketchum to Retire in 2016ThinkAdvisorKetchum39s retirement announcement comes at a critical ...Prior to joining FINRA, Ketchum spent five years as the first chief regulatory officer of the New York Stock Exchange. Before that, he led both the National Association of Securities Dealers (FINRA39s predecessor) and The Nasdaq Stock Market. He also ... Fri, 30 Oct 2015 09:52:30 -0700 - FINRA CEO Rick Ketchum to RetireWealthManagementPrior to joining FINRA, Ketchum spent five years as the first chief ...In the spring of 2009, at the apex of the calamity, Richard G. Ketchum assumed one of the most trying roles as head of Finra, Wall Street39s self-regulating organization, with a mission to amplify its power. Six years later, Mr. Ketchum, 64, has ... Fri, 30 Oct 2015 09:34:16 -0700 - New York TimesRichard Ketchum to Retire From FinraNew York TimesIn the spring of 2009, at the apex of the calamity, Richard G. ...The Financial Industry Regulatory Authority (FINRA) announced today that Chairman and CEO Richard Ketchum is set to retire in the second half of 2016. In its announcement, FINRA praised Mr. Ketchum as one of the foremost industry regulators for more... Fri, 30 Oct 2015 09:27:12 -0700 - FINRA39s CEO Richard Ketchum set to retire in 2016LeapRateThe Financial Industry Regulatory Authority (FINRA) announced ...WASHINGTON--(Business Wire)--The Financial Industry Regulatory Authority (FINRA) said today that Chairman and CEO Richard Ketchum, 64, has announced his plan to retire in the second half of 2016. The Board of Governors will conduct a search for his... Fri, 30 Oct 2015 08:06:00 -0700 - FINRA Chairman and CEO Rick Ketchum to Retire in 2016Digital JournalWASHINGTON--(Business Wire)--The Financial Industry ...FINRA censured NFP Advisor Services and fined the firm 500,000 after it found that NFP failed to supervise private securities transactions of registered representatives who were dually registered with the firm and a registered investment advisor ... Fri, 30 Oct 2015 07:37:43 -0700 - ThinkAdvisorSEC, FINRA Enforcement: NFP Advisor Services Failed to Supervise Dually ...ThinkAdvisorFINRA censured NFP Advisor ...Without admitting or denying wrongdoing, former Edward Jones advisor Anthony C. Gray settled with FINRA over allegations that he bilked an elderly couple for a handsome sum. Writes New York-based lawyer Bill Singer: Gray convinced an elderly couple... Fri, 30 Oct 2015 06:57:30 -0700 - Advisor allegedly fleeced senior couple, settles with FINRAAdvisor.caWithout admitting or denying wrongdoing, former Edward ...UBS responded by lodging an arbitration claim with the Financial Industry Regulatory Authority (FINRA) against Freund and the other former employees, alleging they stole thousands of confidential UBS client and business records and other proprietary... Thu, 29 Oct 2015 20:55:40 -0700 - Part-time clerk or not, man must face arbitration over accusations he stole ...Cook County RecordUBS responded by lodging an ...Washington, DC The Financial Industry Regulatory Authority (FINRA) has ordered more fines be paid out linked to the sale of Puerto Rico bonds. The fines were handed out after allegations were made that certain financial institutions failed to properly... Thu, 29 Oct 2015 14:59:01 -0700 - FINRA Orders More Fines Linked to Puerto Rico BondsLawyersandSettlementsWashington, DC The Financial Industry Regulatory ...A broker sought to vacate his FINRA compensatory damages award against a broker/dealer because the award did not include his attorney39s fees. The broker believed he was entitled to those fees as the prevailing party within the meaning of his contract... Thu, 29 Oct 2015 11:30:01 -0700 - FINRA Panel Did Not Exceed Authority Or Manifestly Disregard Law By Failing To ...JD Supra (press release)A broker sought to ...Law360, New York (October 29, 2015, 2:12 PM ET) -- A New York state judge threw out a legal malpractice lawsuit Thursday brought by a former Ramius Securities LLC manager accusing Willkie Farr amp Gallagher LLP of breaching the attorney-client... Thu, 29 Oct 2015 11:23:39 -0700 - Willkie Farr Ducks Malpractice Suit Over FINRA ProbeLaw360 (subscription)Law360, New York (October 29, 2015, 2:12 PM ET) -- A ...The Financial Industry Regulatory Authority (FINRA) has ordered five firms to pay more than 18 million, including interest, in restitution to affected customers after it found that they had failed to waive mutual fund fees for eligible charitable ... Thu, 29 Oct 2015 09:57:47 -0700 - BenefitsProFINRA orders 5 firms to pay restitution to retirement fundsBenefitsProThe Financial Industry Regulatory Authority ...According to the FINRA research, whites own 73 percent of taxable accounts in the U.S., compared to Hispanics (11 percent) and blacks (8 percent), who also have fewer retirement accounts than whites. Of those who only hold retirement accounts, 67 ... Thu, 29 Oct 2015 09:48:15 -0700 - Latin PostHouseholds of Color Accumulate Less Wealth, Own Less Taxable Investment ...Latin PostAccording to the FINRA research, ...Regulators continue hounding brokerages that don39t pass on mutual-fund sales waivers to their customers, with Finra ordering five firms to give back over 18 million in combined restitution, The Wall Street Journal writes. Finra accuses the companies ... Thu, 29 Oct 2015 03:49:46 -0700 - Finra Orders 18 Million in Restitution for Fund OverchargesFinancial Advisor IQ (registration)Regulators continue hounding ...Avoiding financial exploitation of older investors has been on our regulators39 radar screens for several years. With new rules proposed in October 2015, FINRA seeks to make investing safer for seniors and other vulnerable adults. The proposed new rules... Wed, 28 Oct 2015 15:15:05 -0700 - FINRA Proposes Rules to Help Avoid Financial Exploitation of SeniorsJD Supra (press release)Avoiding financial exploitation of ...Over the past several years, the Financial Industry Regulatory Authority, Inc.