Financial Industry Regulatory Authority Archives - Insurance Journal /topics/financial-industry-regulatory-authority/ Insurance Journal delivers the latest business news for the Property/Casualty insurance industry Tue, 29 Dec 2015 16:29:26 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 /app/uploads/2015/12/cropped-insurancejournal-32x32.jpg Financial Industry Regulatory Authority Archives - Insurance Journal /topics/financial-industry-regulatory-authority/ 32 32 Wall Street May Create UK-Like Registry of Misbehaving Bankers, Traders /news/national/2015/12/29/393165.htm Tue, 29 Dec 2015 16:30:40 +0000 /?p=393165 Toys ‘R’ Us Facing Credit Insurance Woes As It Restructures /news/national/2015/07/28/376476.htm Tue, 28 Jul 2015 10:44:47 +0000 /?p=376476 California Adviser Ordered to Pay $3.7M Defamation Claim by Ex-Employees /news/west/2014/06/06/331242.htm Fri, 06 Jun 2014 14:01:17 +0000 /?p=331242 Schwab Ends Fight to Require Customers Sign Class Action Waiver /news/national/2014/04/25/327280.htm Fri, 25 Apr 2014 12:28:40 +0000 /?p=327280 SEC Proposes Fiduciary Duty for Investment Brokers Advising Retail Clients /news/national/2013/11/22/312057.htm Fri, 22 Nov 2013 13:47:58 +0000 /?p=312057 Brokerage Firm Fined $9M for Email Violations, Misstatements /news/national/2013/05/21/292782.htm Tue, 21 May 2013 14:43:23 +0000 /?p=292782 Schwab Temporarily Drops Client Class Action Waiver /news/national/2013/05/17/292423.htm Fri, 17 May 2013 13:14:42 +0000 /?p=292423 SEC Regulator Urges Ban on Mandatory Arbitration Agreements by Investment Firms /news/national/2013/04/16/288549.htm Tue, 16 Apr 2013 15:47:41 +0000 /?p=288549 Ex-Merrill Broker, Deutsche Bank to Pay Investor $11 Million /news/national/2013/04/08/287474.htm Mon, 08 Apr 2013 13:38:05 +0000 /?p=287474 SEC Approves Nasdaq Deal for Facebook IPO But Lawsuits Could Follow /news/national/2013/03/26/286063.htm Tue, 26 Mar 2013 13:06:41 +0000 /?p=286063 Securities Regulator OKs Schwab Ban on Class Actions by Clients /news/national/2013/02/21/282340.htm Fri, 22 Feb 2013 04:39:33 +0000 /?p=282340 Deutsche Bank, Ex-Adviser Ordered to Pay $934K for Insurance Swindle /news/national/2013/02/14/281233.htm Thu, 14 Feb 2013 13:51:17 +0000 /?p=281233 Brokerage’s Strategy Could Redefine ‘Customer’ in Securities Arbitration Cases /news/national/2012/03/21/240402.htm Thu, 22 Mar 2012 02:41:46 +0000 /?p=240402 Brokerage Schwab Hit with Complaint Over Client Lawsuit Waivers /news/national/2012/02/02/233868.htm Thu, 02 Feb 2012 13:55:51 +0000 /?p=233868 Supreme Court Won’t Hear FINRA Immunity Case /news/national/2012/01/18/231466.htm Wed, 18 Jan 2012 13:46:44 +0000 /?p=231466