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25 Jun 2024, 11:25 am
FINRA Bars Raymond James Advisor Bryan Noonan after allegations of Selling Away According to public documents on June 24, 2024, The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Bryan Noonan from working in the securities industry. [read post]
14 Jun 2024, 12:49 pm
See here: Wells Fargo this week disclosed that it had fired more than a dozen employees for “simulation of keyboard activity,” Bloomberg reported, citing filings to the Financial Industry Regulatory Authority. [read post]
14 Jun 2024, 10:25 am
The staffers, all in the firm’s wealth- and investment-management unit, were “discharged after review of allegations involving simulation of keyboard activity creating impression of active work,” according to disclosures filed with the Financial Industry Regulatory Authority. [read post]
13 Jun 2024, 11:21 am
FINRA Bars Rosaline Alam after Allegations of Misappropriation of Funds According to public records, the Financial Industry Regulatory Authority has barred former advisor Rosaline Alam (CRD No. 5742202) also known as Rosaline Alrachid from working in the securities industry on June 11, 2024. [read post]
12 Jun 2024, 1:41 pm
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority has barred former advisor Imdadur Rahman (CRD No. 2476187) also known as Gino Rahman from working in the securities industry on June 10, 2024. [read post]
11 Jun 2024, 12:29 pm
Longtime broker-dealer, Oppenheimer & Co, Inc. found themselves in hot water with the Financial Industry Regulatory Authority, once again. [read post]
7 Jun 2024, 7:05 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
5 Jun 2024, 3:38 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
5 Jun 2024, 10:52 am
David Lerner CEO Under Investigation June 5, 2024: The CEO and president of David Lerner Associates Inc. is reportedly under investigation by the Financial Industry Regulatory Authority Inc. [read post]
31 May 2024, 11:49 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
21 May 2024, 9:01 pm
A legal challenge to the Final Rule has already been filed by an insurance industry trade group in the U.S. [read post]
17 May 2024, 11:26 am
In March 2024, Evershed Sutherland (US) LLP released its annual report (the Report) detailing disciplinary and enforcement actions initiated by the Financial Industry Regulatory Authority (“FINRA”) during the 2023 year. [read post]
16 May 2024, 9:43 am
FINRA Updates Guidance on Chatbot Messaging and AI Generated content The Financial Industry Regulatory Authority (FINRA) has updated its guidance this week on firms and their use of chatbot messaging and AI generated content. [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
8 May 2024, 5:13 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
7 May 2024, 12:30 pm
Court of Appeals for the Second Circuit affirmed the decision on the ground that the two distributors were in the baking industry, not the transportation industry, and therefore did not qualify for the arbitration exemption. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
4 May 2024, 8:31 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
