Search for: "Financial Industry Regulatory Authority"
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3 Nov 2021, 7:05 am
”5 As the market capitalization of stablecoins has soared, this particular class of digital assets has garnered increasing attention by the industry and regulatory agencies in the last year. [read post]
3 Nov 2021, 6:00 am
According to the report, “these awards highlight an important feature of the Whistleblower Program, which is that a whistleblower may qualify for an award for reporting information first to another government authority or regulatory body… before reporting information to the CFTC. [read post]
3 Nov 2021, 6:00 am
According to the report, “these awards highlight an important feature of the Whistleblower Program, which is that a whistleblower may qualify for an award for reporting information first to another government authority or regulatory body… before reporting information to the CFTC. [read post]
1 Nov 2021, 1:34 pm
.: The House Financial Services Subcommittee on Consumer Protection and Financial Institutions will hold a hearing on cyber threats, consumer data and the financial system. [read post]
1 Nov 2021, 4:08 am
In connection with that employment, as is typical in the securities industry, Badgerow signed an agreement calling for arbitration under rules promulgated by FINRA (the Financial Industry Regulatory Authority – a private organization that regulates securities professionals). [read post]
29 Oct 2021, 3:55 pm
” What the court should resolve, it continued, “as soon as possible is who has the authority to decide those issues on an industry-wide scale — Congress or the EPA. [read post]
29 Oct 2021, 11:44 am
FINRA Chair Murray Ironically Argues Against Self Regulation (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6147/finra-murray-government/In pressing for government regulation and intervention into the ESG arena, FINRA Chair Eileen Murray seems to have forgotten that she speaks as Chair of a non-governmental, so-called self-regulatory-organization, which many -- including this author -- finds an outdated, conflicted, and failed approach to the regulation… [read post]
29 Oct 2021, 10:06 am
DHS has hosted Biometric Technology Rallies—industry chall [read post]
29 Oct 2021, 9:01 am
Following a two-year review, the Reserve Bank of Australia said on Friday it was now engaging with Treasury on “regulatory approaches” to enforce its decision – a move fiercely opposed by the industry. [read post]
29 Oct 2021, 9:01 am
Following a two-year review, the Reserve Bank of Australia said on Friday it was now engaging with Treasury on “regulatory approaches” to enforce its decision – a move fiercely opposed by the industry. [read post]
29 Oct 2021, 8:01 am
Yurovsky’s public disclosure report, stockbroker Lenny Yurovsky received a Wells Notice from the Financial Industry Regulatory Authority (“FINRA”) on or about September 29, 2021, which made a preliminary determination to recommend that disciplinary action be brought against Mr. [read post]
28 Oct 2021, 11:48 am
Claimant Worked With Ex-Raymond James Broker Frank Van Houten Through UNFCU An investor from the Caribbean has filed a six-figure Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James Financial Services over investment losses he sustained. [read post]
28 Oct 2021, 7:52 am
The Wall Street Journal’s Facebook Files series resumed last week, revealing that the platform took action against an online campaign to set up a new right-wing “Patriot Party” after the Jan. 6 insurrection. [read post]
28 Oct 2021, 6:00 am
Extended Benefits The Canada Recovery Hiring Program (CRHP) is being extended until May 7, 2022, with authority for further regulatory extensions until July 2, 2022. [read post]
27 Oct 2021, 8:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
27 Oct 2021, 8:07 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) both published online resources for World Investor Week 2021 in which they discuss emerging risks for individual investors. [read post]
27 Oct 2021, 7:03 am
Couple’s FINRA Arbitration Claim Seeks Up to $500K in Damages A retired couple from Payson, Utah have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Woodbury Financial Services over losses they sustained while investing in GPB Capital Holdings LLC, CIM REIT, and other privately traded entities. [read post]
26 Oct 2021, 5:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
26 Oct 2021, 5:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Viqas Akhtar (Akhtar) has at least three disclosable events. [read post]
26 Oct 2021, 2:00 am
FINRA Claims Former Financial Advisor Also Cost Investors Over Variable Annuities The Financial Industry Regulatory Authority (FINRA) has filed a complaint accusing ex-Western International Securities registered representative Megurditch Mike Patatian of unsuitably recommending to 59 customers that they purchase non-traded real estate investment trusts (non-traded REITs). [read post]
