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1-26 of 26 results

  • www.finra.org
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FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets... FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates..
Relevance: 72.41285
  • screwedbymybroker.com
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Morgan Stanley is based in Purchase, New York (2000 Westchester Ave. Purchase, New York 10577). It is an investment advisory firm regulated by FINRA. The firm engages in business through its subsidiaries, providing financial planning, products and..
Relevance: 65.8288
  • www.nationalhealthchain.com
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Joseph offers a free consultation no matter which State you live in. Find out if you can be helped whether you wish to pre-plan and get to use the rules to protect your assets and income or if you or your loved one is in a crisis to do that same.....
Relevance: 65.33721
  • www.financiallydigital.com
I can just address my own understanding, however I've discovered that blogging frequently is useful for others. Computerized promoting moves at a terrifying pace. Regularly the best way to keep up is to continue perusing. In any case, with such a..
Relevance: 65.33721
  • stockbrokerlitigation.com
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Unauthorized trading is the purchase or sale of securities that a Financial Advisor or Stockbroker makes for a customer without the customer's permission. The Financial Industry Regulatory Authority (FINRA) has a specific rule that prohibits any..
Relevance: 65.09115
  • www.ohashiadr.com
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I have represented employers and employees, including negotiating employment agreements and termination/severance packages for senior management of private and public companies. I am keenly aware of the need to navigate the emotional components..
Relevance: 65.09115
  • investigate-your-broker.com
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Stockbrokers are required to be licensed by the Financial Industry Regulatory Authority (FINRA) in order to sell securities. FINRA maintains records on each broker and brokerage firm. These records, which are freely available to the public, track the..
Relevance: 62.422386
  • www.15a6rule.com
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In addition to FINRA and state registration and licensing, we support your ongoing activities through our proprietary processes, technology, and experienced staff. A business-friendly, noninvasive approach to compliance allows you to operate..
Relevance: 62.422386
  • www.finra.com
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Financial Reporting Advisors, LLC (FRA) was formed in 2003 by three long-time colleagues and former Arthur Andersen LLP national office partners - John Stewart, Amy Ripepi, and Rick Petersen. All three founders are certified public accountants with..
Relevance: 42.36245
  • www.finrafoundation.org
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FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers... FINRA, the Financial Industry Regulatory Authority, regulates all securities firms doing business in the United States...
Relevance: 41.107616
Relevance: 25.907696
Relevance: 24.147686
  • www.conemifyoucan.org
Con 'Em If You Can is a fun and interactive strategy game developed by the FINRA Investor Education Foundation and Commonwealth (formerly D2D Fund) to help players learn how to spot and avoid investment fraud. The game turns the tables and casts..
Relevance: 22.019459
  • www.saveandinvest.org
Using fine money levied by FINRA against firms for misleading sales practices targeting military personnel, the FINRA Foundation first launched SaveAndInvest.org in 2006 as part of our Military Financial Readiness Project. In 2008, we expanded the..
Relevance: 21.051292
  • www.mitchatkinsfinraconsultant.com
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Whatever the issue, it seems that sales of these products is continuing to grow, with many broker-dealers seeing significant increases in revenues over the last few years. This has a lot to do with the current market environment, interest rates and..
Relevance: 21.051292
  • mitchatkinsfinramembershipapplications.com
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More studying? Are you kidding? Often this is the question that FirstMark Regulatory Solutions gets when discussing the FINRA general securities principal registration requirements with clients who have already taken the Series 7 and 63 exams.....
Relevance: 20.190567
  • mitchatkinsfinracmaconsultant.com
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Contact Mitch Atkins FINRA CMA Consultant for assistance in filing your FINRA CMA application. FirstMark Regulatory Solutions, Inc. 561-948-6511...
Relevance: 19.497002
  • www.mitchatkinsfinrarulesconsulting.com
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Relevance: 18.658731
  • mitchatkinsfinrabrokerdealerconsulting.com
Mitch Atkins has 20 years of experience in multiple roles at FINRA, during which time he was a member of the Member Regulation Senior Management Team. At FINRA, he was designated as a national expert in mutual funds and variable insurance products...
Relevance: 17.493069
  • www.herskovitslaw.com
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Herskovits PLLC is known for its tenacious defense of investigations, disciplinary proceedings and litigation initiated by Wall Street's regulators. When it comes to FINRA matters, you will be hard-pressed to find a law firm with more broad-based..
Relevance: 14.192504
  • www.finrafoundation.org
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Established in 2003 by the Financial Industry Regulatory Authority, the FINRA Investor Education Foundation empowers underserved Americans with the knowledge, skills and tools to make sound financial decisions throughout life...
Relevance: 13.02197
  • www.catnmsplan.com
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The CAT must meet the specific requirements of Rule 613 and achieve the primary goal of creating a single, comprehensive audit trail to enhance regulators' ability to surveil the U.S. markets in an effective and efficient way... On July 11, 2012,..
Relevance: 10.943075
  • www.iard.com
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Welcome to the IARD TM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates..
Relevance: 10.783333
  • mediate.com
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Join managers and supervisors in a weekly confidential cohort. Participants receive support and insight into their workplace dilemmas and utilize the case study model in an interactive and participatory process... Session will be held by Zoom video..
Relevance: 7.3239613
  • securitiesarbitrations.com
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We also put our money (and resources) where our mouth is. We offer our legal services on a contingent fee basis, meaning that we advance all costs and there are no legal fees or expenses (where permitted) unless we make a recovery for you. Your..
Relevance: 6.42737
  • www.mediate.com
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Funding will help support the RCI's mission to increase diversity within the alternative dispute resolution (ADR) profession. The JAMS Foundation and the AAA-ICDR Foundation have granted $750,000 to support the Ray Corollary Initiative (RCI). The RCI..
Relevance: 6.1352706