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23 Mar 2024, 5:31 am
Traditional financial metrics often overlook the less tangible, yet equally valuable, benefits of robust data governance—enhanced decision-making, compliance improvements, and reduced risk of data breaches. [read post]
22 Mar 2024, 9:07 am
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. [read post]
19 Mar 2024, 7:00 am
About the Author Cynthia Marcotte Stamer is a practicing attorney board certified in labor and employment law by the Texas Board of Legal Specialization and management consultant, author, public policy advocate and lecturer widely known for 35 plus years of health industry and other management work, public policy leadership and advocacy, coaching, teachings, and publications. [read post]
19 Mar 2024, 4:25 am
About Solutions Laws Press, Inc. [read post]
17 Mar 2024, 5:42 pm
Among other things: Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers… [read post]
13 Mar 2024, 8:56 am
” Earlier when the crypto industry was building up, the SEC indicated it had little statutory authority over digital assets and what authority it did have was unclear. [read post]
6 Mar 2024, 9:01 pm
’”[5] Today’s rulemaking is an extraordinary exercise of regulatory authority by the Commission that involves an economically and politically significant policy decision. [read post]
29 Feb 2024, 8:54 am
Michael Brickman Barred by Securities Regulators According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred Michael Brickman (CRD#: 4042866) from associating with any FINRA member at any time. [read post]
28 Feb 2024, 9:05 pm
About the author: Darin Detwiler is a food safety academic, advisor, advocate, and author. [read post]
26 Feb 2024, 12:30 pm
A good example of this is the Fisker, Inc. [read post]
23 Feb 2024, 11:04 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the FBI, and the U.S. [read post]
23 Feb 2024, 4:34 am
DISCO Announces Fourth Quarter and Fiscal Year 2023 Financial Results CS Disco, Inc. [read post]
23 Feb 2024, 12:01 am
Broker Due Diligence Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
11 Feb 2024, 8:55 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kieth Baron (Baron) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
11 Feb 2024, 8:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Benitez’s customer complaints alleges that Benitez recommended unsuitable investments in various investments and makes allegations including common law fraud, gross negligence. [read post]
8 Feb 2024, 7:47 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
6 Feb 2024, 3:58 pm
Blackwell Security Services Religious Discrimination Litigation Settlement The settlement with Blackwell Security Services, Inc. [read post]
6 Feb 2024, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bindra’s customer complaint alleges that Bindra recommended unsuitable investments in structured products and makes allegations concerning the misrepresentation of the product among other allegations of misconduct relating to the handling of their accounts. [read post]
4 Feb 2024, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), advisor Barbara Shaffer (Shaffer), currently employed at Cambridge Investment Research, Inc. [read post]
