Search for: "Financial Industry Regulatory Authority"
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7 Jun 2010, 11:56 am
Citing "significant problems in several recent examinations and investigatgions", FINRA (the Financial Industry Regulatory Authority) has issued Regulatory Notice 10-22 to warn firms of their obligations in what has become a $609 billion market for private placement securities. [read post]
4 Dec 2023, 9:08 am
It also looks holistically at third-party risk management, which is wider than the historical narrower focus on outsourcing, considering changing industry practices and recent regulatory and supervisory approaches to operational resilience. [read post]
22 May 2012, 4:54 am
On May 21, 2012, the Financial Industry Regulatory Authority (? [read post]
6 Feb 2024, 11:25 am
On December 27, 2023, the Financial Industry Regulatory Authority ordered LPL Financial to pay $6.15 million in fees and restitution for several violations related to direct business and switch transactions made on behalf of their customers. [read post]
28 Aug 2020, 11:14 am
Senior Investors’ Fraud Complaint Against KCD Financial & Fess Financial Seeks up to $1M in Damages A Dallas, Texas couple has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Christopher Charles Fess, of Fess Financial and KCD Financial, where he is a registered investment advisor. [read post]
7 Mar 2018, 9:34 am
Murphy was suspended for one month from the industry and fined $5,000 by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jan 2022, 9:23 am
The Framework sets out a structure for its members (the FOS, Financial Conduct Authority, Financial Services Compensation Scheme, the Pensions Regulator and the Money and Pensions Service) to collaborate on matters of common interest to achieve a better outcome for consumers, small businesses and the financial services industry, where compatible with members’ independent statutory roles and functions. [read post]
4 Feb 2020, 8:12 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Nakamura’s customer complaints allege that Nakamura recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
1 Nov 2017, 7:54 pm
In June 2017, the Financial Industry Regulatory Authority (FINRA) announced that Financial West Investment Group of Westlake, California, submitted an acceptance, waiver and consent letter, or AWC, regarding its participation in private placement offerings without the use of an escrow account. [read post]
21 Feb 2018, 6:40 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Marcus Parker was permanently barred from the industry. [read post]
29 Mar 2011, 2:06 pm
Earlier this month, LPL Financial, LLC was fined $100,000 by the Financial Industry Regulatory Authority ("FINRA") for failing to maintain supervisory procedures to catch a representative who was transferring assets from a customer account to the broker's personal account with the firm. [read post]
10 Sep 2021, 5:17 am
According to a publicly filed Acceptance, Waiver, and Consent (AWC) filed with the Financial Industry Regulatory Authority (FINRA), Wells accepted the lifetime ban in lieu of appearing for or providing information to FINRA pursuant to FINRA Rule 8210. [read post]
22 Jun 2021, 9:21 am
The Financial Industry Regulatory Authority (“FINRA”) and Farmers Financial Solutions, LLC (“Farmers Financial”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017052173001 on June 21, 2021, after FINRA alleged supervisory failures related to variable universal life insurance contracts (“VUL”) and mutual fund businesses. [read post]
29 Dec 2018, 7:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Kabana concern allegations over variable annuity sales practices. [read post]
14 Mar 2018, 6:48 am
The Financial Industry Regulatory Authority (FINRA) accused White of unlawfully “structuring” a total of $77,560 that he won on gambling trips to Las Vegas by depositing the cash into his bank accounts in amounts just below $10,000 reporting threshold. [read post]
25 Apr 2017, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Edward Gackle was permanently barred in July 2016 from the securities industry for failing to appear for on-the-record testimony requested by FINRA during the course of an investigation. [read post]
19 Sep 2011, 5:37 am
The US hedge fund industry opposes legislation authorizing an SRO for investment advisers and believes that the existing framework of SEC regulation of private fund managers, as enhanced in a number of respects by the Dodd-Frank Act and regulatory implementation of the Act, is effective and should remain place. [read post]
30 Nov 2023, 9:03 am
The Grid sets out the regulatory pipeline, so that the financial services industry and other stakeholders can understand, and plan for, the timing of the initiatives that may have a significant operational impact on them. [read post]
2 Sep 2022, 6:54 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Parakhnevich customer complaints allege that Parakhnevich engaged in unsuitable investment practices and excessive trading, among other allegations made by customers. [read post]
9 Apr 2018, 10:02 am
Former Liberty Partners Financial Services broker Jeffery Fanning was recently suspended from the securities industry for six months by the Financial Industry Regulatory Authority (FINRA). [read post]
