Search for: "Financial Industry Regulatory Authority"
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9 Nov 2021, 10:58 am
Pierre-Loïc Doulcet, Fellow, CodeX – The Stanford Center for Legal Informatics; Computable Contract Engineer, AXA CodeX Insurance Initiative Discussion Paper NOTE ON THE DISCUSSION PAPERS: The CodeX Insurance Initiative has invited leaders from industry, academia, and the regulatory community to contribute short papers describing the authors’ views on important issues relating to the application of computable contracting in the insurance industry.… [read post]
9 Nov 2021, 9:29 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Leonard Marzocco from the securities industry. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
9 Nov 2021, 6:40 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Melilli from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
8 Nov 2021, 4:19 pm
Following her termination, Badgerow initiated an arbitration proceeding against the three principals before an arbitration panel of the Financial Industry Regulatory Authority (“FINRA”). [read post]
8 Nov 2021, 1:27 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
8 Nov 2021, 11:18 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Michael May from the securities industry. [read post]
8 Nov 2021, 9:40 am
The BSA enlists these sectors and other financial institutions to root out marketplace abuse by undertaking customer due diligence and spotting questionable financial transactions. [read post]
8 Nov 2021, 9:40 am
The AML Act took effect when Section 6110 of the massive National Defense Authorization Act became law in January. [read post]
8 Nov 2021, 9:40 am
The BSA enlists these sectors and other financial institutions to root out marketplace abuse by undertaking customer due diligence and spotting questionable financial transactions. [read post]
8 Nov 2021, 6:27 am
While crypto still has the theoretical potential to disrupt the payments industry, for the moment that day appears to be a long way off. [read post]
8 Nov 2021, 6:27 am
While crypto still has the theoretical potential to disrupt the payments industry, for the moment that day appears to be a long way off. [read post]
8 Nov 2021, 4:08 am
The Financial Industry Regulatory Authority (FINRA) only holds them to the lower “suitability” standard. [read post]
4 Nov 2021, 1:29 pm
Former New Jersey Financial Advisor Allegedly Targeted Florida Doctors James Alan Seijas, an ex-Wells Fargo Clearing Services broker, was barred by the Financial Industry Regulatory Authority (FINRA) beginning November 2, 2021. [read post]
4 Nov 2021, 6:08 am
This post is based on a recent paper, forthcoming in the NYU Journal of Legislation and Public Policy, authored by Mr. [read post]
3 Nov 2021, 8:30 am
It aggregates official government data from regulators such as the Environment Agency, the Financial Conduct Authority, and the Employment Tribunal. [read post]
3 Nov 2021, 8:09 am
FINRA Suspends New York-Based Financial Advisor for Nine Months John Sebastion Cangialosi, currently an SW Financial broker, was suspended by the Financial Industry Regulatory Authority (FINRA) in September 2021 for nine months. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a… [read post]
3 Nov 2021, 7:14 am
According to Advisor Hub and other industry news sources the Financial Industry Regulatory Authority levied sanctions against Merrill Lynch and two of its brokers over allegedly early rollovers of Unit Investment Trusts. [read post]
