Search for: "Financial Industry Regulatory Authority"
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27 Nov 2023, 7:59 am
On 27 November 2023, HM Treasury (HMT) published a joint statement on the UK-Japan Financial Dialogue and Financial Regulatory Forum, which took place in Tokyo between Japan (the Ministry of Finance and the Financial Services Agency) and the UK (HMT, the Bank of England and the Financial Conduct Authority). [read post]
31 Jul 2013, 4:00 am
The Financial Industry Regulatory Authority, the Massachusetts state regulatory body, is scrutinizing nontraditional, illiquid investments that some financial planners are selling to elderly that lack sophistication in investing. [read post]
9 Jun 2009, 8:15 am
There are perceived advantages and risks associated with concentrating regulatory authority in a single regulator. [read post]
13 Jan 2021, 1:06 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Arthur Obermeier from the securities industry for 60 days and fined him $5,000. [read post]
6 Feb 2007, 4:49 pm
Bloomberg yesterday met in London with the chairman of the Financial Services Authority, the umbrella regulatory body for the banking, securities, insurance, and investment industries in Britain. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
4 May 2017, 11:28 pm
The Financial Industry Regulatory Authority (FINRA) has announced that the SEC has approved a new rule that is specific to customers who are elders. [read post]
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]
29 Jan 2017, 10:53 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Glime (Glime) formerly associated with Capital Investment Group, Inc. [read post]
26 Feb 2021, 1:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Scott Richard Hansen for three months from the securities industry over allegations that Mr. [read post]
21 Jun 2020, 9:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Kennedy was employed by his prior employer Woodbury Financial Services, Inc. [read post]
12 Sep 2011, 1:08 pm
Representative Spencer Bachus proposes authorizing a self-regulatory organization, the Financial Industry Regulatory Authority, to examine more than 10,000 investment advisory firms. [read post]
25 Oct 2022, 7:27 pm
The ex-Chicago financial advisor, who was barred from the Financial Industry Regulatory Authority (FINRA) in 2021 for not cooperating in the self-regulatory organization’s (SR0’s) probe, is accused of stealing $1.3M from an older client with dementia. [read post]
24 Aug 2020, 4:12 pm
Financial Industry Regulatory Authority (FINRA) has issued a new regulatory notice warning members of threat actors using registered brokers’ info to create phishing websites. [read post]
30 Sep 2009, 10:35 am
from the likes of Geithner, Bernanke, Frank (.pdf), Dodd, etc., etc. you’d be excused for thinking the financial news from Washington (remember when financial news used to come from New York?) [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
7 Mar 2024, 1:09 pm
The Financial Industry Regulatory Authority (FINRA) has issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a notable member firm in the securities industry. [read post]
14 Dec 2010, 2:35 pm
Congratulations to former TOTM blogger (and recent guest) and University of Chicago Law Professor Todd Henderson who has been appointed to serve a three-year term on the Financial Industry Regulatory Authority’s National Adjudicatory Council. [read post]
16 Apr 2020, 7:25 am
In this podcast, we are joined by Richard Cordray, former CFPB Director, and John Roddy, prominent plaintiffs’ class action lawyer, for a discussion of regulatory and litigation risks the crisis is expected to create for the consumer financial services industry. [read post]
8 Apr 2020, 9:00 pm
Our colleagues in the investment management practice have prepared a chart that summarizes the available relief provided by the US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association from certain regulatory requirements. [read post]
