Search for: "Financial Industry Regulatory Authority"
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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]
25 Jun 2024, 7:58 am
Final Rule Exceeds BOEM’s Statutory Authority Plaintiffs allege that by issuing the Final Rule, BOEM exceeded its statutory jurisdiction or authority granted by Congress under OCSLA. [read post]
24 Jun 2024, 3:05 pm
This article delves into the implications of these accusations, the potential financial repercussions for Apple, and the broader impact on the tech industry. [read post]
21 Jun 2024, 4:16 am
In Italy, certain legislative measures (including Decisions Nos 200/21 and 14/21) were adopted in 2020 and 2021 which subjected providers of online intermediation services and search engines, such as Airbnb, Expedia, Google, Amazon and Vacation Rentals, to certain obligations, including to:be entered in a register (the RCO) held by the national regulatory agency for the communication industries (AGCOM); periodically send AGCOM a document setting out detailed… [read post]
21 Jun 2024, 3:00 am
In an industry where relationships and access to those in power are currency, threats alone can be enough to make advocates wary. [read post]
19 Jun 2024, 5:54 am
To strengthen the ecosystem, the Lithuanian government has simplified migration procedures for foreign professionals and promoted cooperation among various supervisory authorities and industry stakeholders. [read post]
18 Jun 2024, 9:57 am
Any views or opinions expressed herein are those of the author and are not necessarily the views of any client. [read post]
18 Jun 2024, 9:00 am
Both administrations authorized expansion for oil production while at the same time promoting green jobs. [read post]
18 Jun 2024, 4:00 am
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
17 Jun 2024, 8:50 pm
Our Institutional Investment Fraud Lawyers are Representing Nonprofits, Charitable Organizations, Endowment Funds, And Institutional investors Churning, Unsuitability, and Supervisory Failures Alleged in Nonprofit’s Broker Fraud Claim A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded over $7.3 million to the Rosenau Family Research Foundation (formerly known as The Legacy of Angels Foundation) in their… [read post]
16 Jun 2024, 9:30 pm
It also shows how American bankers, through financial innovation and clever lawyering (including a cameo by Robert Bork), broke down the system of regulatory federalism that had restrained finance since the New Deal. [read post]
16 Jun 2024, 9:05 pm
While trucks and trains compete to deliver many of the same goods, they operate under different regulations and regulatory authorities. [read post]
16 Jun 2024, 8:41 pm
“Use of more complex approaches to AI in the financial sector, absent any uniform basic guiding principles and industry-wide rules, increases risks to both individual investors and markets. [read post]
15 Jun 2024, 6:42 am
Financial and Regulatory Challenges High implementation costs and regulatory compliance remain significant barriers to adoption. [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]
14 Jun 2024, 2:57 am
The scheme was essentially voluntary, with no legal or financial consequences for companies that failed to report. [read post]
13 Jun 2024, 9:05 pm
The Consumer Financial Protection Bureau (CFPB) proposed a rule that would remove past and future medical debt from credit reports to increase credit scores and loan approvals. [read post]
13 Jun 2024, 9:01 pm
The SEC oversees the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB). [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]
