Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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17 Jun 2023, 2:03 am
March 2, 2023 Practices: Asset Management The Financial Industry Regulatory Authority Inc. [read post]
17 Jun 2023, 12:31 am
The Financial Industry Regulatory Authority Inc. said Tuesday that it had penalized Morgan Stanley $698,000 for several years of failing to supervise brokers’ sales of high-risk securities, including a Chinese telecom stock. [read post]
16 Jun 2023, 1:54 pm
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor, Andrew Komarow, whose practice focused on special needs and autism, after he failed to cooperate in a Finra investigation in the wake of being accused by his firm last year of not using electronic transfers of funds properly. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
13 Jun 2023, 9:40 am
The Financial Industry Regulatory Authority Inc. last week filed with the Securities and Exchange Commission a new version [...] [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, Unite... [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES St. [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES SEC Sends F... [read post]
11 Jun 2023, 4:17 pm
The Financial Industry Regulatory Authority Inc., a private organization empowered by Congress to regulate the securities industry, is structured and operated in a way that violates the US Constitution, two brokerage firms allege in a suit.FINRA “wields massive power and governmental authority over the securities broker-dealer industry and the financial markets,” Scottsdale Capital [...] [read post]
11 Jun 2023, 3:26 pm
The Financial Industry Regulatory Authority Inc. announced last week that it has kicked off a machine-readable rulebook initiative. [read post]
11 Jun 2023, 1:38 pm
The Financial Industry Regulatory Authority Inc. started an inquiry in November into whether broker and financial advisor James Iannazzo broke industry rules when he allegedly “structured cash transactions in his personal bank and brokerage accounts to avoid federal reporting requirements,” according to his BrokerCheck report. [read post]
11 Jun 2023, 12:01 pm
The Financial Industry Regulatory Authority Inc. removed the $310,000 ceiling on the recommended highest range for penalties for midsize and large firms, according to a regulatory notice released Thursday. [read post]
11 Jun 2023, 11:05 am
The Financial Industry Regulatory Authority Inc. [read post]
11 Jun 2023, 9:22 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission to continue remote inspections through the end of 2023 or [...] [read post]
11 Jun 2023, 7:40 am
In July, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission that would allow [...] [read post]
11 Jun 2023, 5:59 am
The Financial Industry Regulatory Authority Inc. last week took aim at another group of broker-dealers — this time Advisor Group firms — that sold private placements issued by GPB Capital Holdings, which has undergone a wide-reaching makeover in the past two years. [read post]
11 Jun 2023, 2:34 am
The Financial Industry Regulatory Authority Inc. [read post]
11 Jun 2023, 1:38 am
The Financial Industry Regulatory Authority Inc. last week penalized another broker-dealer, Coastal Equities Inc., over sales in 2018 of private placement managed by GPB Capital Holdings. [read post]
11 Jun 2023, 12:48 am
The Financial Industry Regulatory Authority Inc. last year penalized 15 broker-dealers a total of $3.7 million for sales of GPB Capital Holdings private placements dating back to the spring of 2018. [read post]
10 Jun 2023, 6:45 pm
A 25-year veteran financial advisor who worked for UBS Financial Services Inc. in Waco, Texas, was barred from the securities industry Friday by the Financial Industry Regulatory Authority Inc. for his role in off-the-books, private securities transactions, according to Finra. [read post]
