Search for: "Financial Industry Regulatory Authority, Inc."
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27 Dec 2023, 6:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
27 Dec 2023, 2:02 pm
Louis Goff allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
27 Dec 2023, 11:21 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Dec 2023, 11:43 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
22 Dec 2023, 11:38 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
22 Dec 2023, 11:26 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
22 Dec 2023, 11:00 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
22 Dec 2023, 9:33 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
22 Dec 2023, 8:13 am
About Solutions Law Press, Inc. [read post]
22 Dec 2023, 7:39 am
About Solutions Law Press, Inc. [read post]
22 Dec 2023, 6:00 am
Defending against fraud and complying with changing regulatory requirements are imminent challenges, but adopting best practices positions payment service providers to adapt to any regulatory change. [read post]
20 Dec 2023, 2:50 pm
About Solutions Law Press, Inc. [read post]
20 Dec 2023, 11:01 am
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) recommended that disciplinary action be brought against financial advisor Keith Baron (CRD#: 3231494) alleging the following rules violations: FINRA Rule 2010 by making material misrepresentations and omissions to investors; FINRA Rules 3270 and 2010 by failing… [read post]
19 Dec 2023, 4:48 pm
On November 22, 2023, the Departments used their statutory authority (Internal Revenue Code Section 9816(c)(9), ERISA Section 716(c)(9), and PHS Act Section 2799A-1(c)(9)) to grant extensions in the following circumstances: Disputing parties may request additional time, beyond the current business day deadline, to respond to the certified IDR entity’s requests for additional information. [read post]
18 Dec 2023, 2:48 pm
We have also developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
17 Dec 2023, 9:03 pm
The investing public benefits when all industry participants compete on a level playing field. [read post]
15 Dec 2023, 8:55 am
About the Author Reco [read post]
12 Dec 2023, 9:05 pm
(disclosing for itself and its subsidiaries), (ii) once more by CSRD rules (although this time under presumably simplified Article 40a reporting standards), at the level of its Japanese parent, Sony Group Corporation (disclosing on the behalf of the entire group), and (iii) potentially several more times for any entities that are either (a) registered as securities issuers with the SEC (according to available EDGAR data, these are Sony Group Corporation, Sony Corp. of America, Sony… [read post]
12 Dec 2023, 1:05 pm
His broker record indicates that the Financial Industry Regulatory Authority (FINRA) barred Corsaro from working as a broker in February 2022. [read post]
12 Dec 2023, 9:55 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Komarow from the brokerage industry in June after its investigation into allegations that he “processed ACH instructions for his own account knowing there were insufficient funds, then improperly used credit to place trades, resulting in negative balance. [read post]
