Search for: "Financial Industry Regulatory Authority"
Results 2041 - 2060
of 11,224
Sorted by Relevance
|
Sort by Date
2 Jun 2016, 10:03 am
To my credit, I try to highlight and make clear my biases, prejudices, and scorn for much of what passes for the purported regulation of the financial industry. [read post]
27 Nov 2013, 4:46 am
Unfortunately, this isn't gym glass, and the penalties for an infraction are far worse than ten push-ups.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, William Larry Hogue, Jr., submitted a Letter of Acceptance, Waiver and Consent… [read post]
22 Sep 2014, 10:03 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Kenneth W. [read post]
16 Sep 2013, 4:21 am
Now, on top of all the nonsense, we have a Wall Street regulator blowing the whistle and walking off a five-yard penalty.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Charles M. [read post]
12 Nov 2014, 2:34 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Terence Marable submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Nov 2015, 2:29 am
FINRA lowers the boom.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Mark J. [read post]
10 Mar 2014, 6:04 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Mark E. [read post]
20 Jun 2013, 5:53 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David Albert Urovsky submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Feb 2016, 4:38 am
The problem is that the wild beasts and acrobats are not acting with the greatest of ease and we, the audience, are overwhelmed and confused.Case In Point (Ring #1)In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2014, former registered representative Claimant Freeze alleged that his former employer Respondent LPL Financial had terminated him after he had purportedly b... [read post]
31 Jan 2014, 2:10 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Scott A. [read post]
18 Aug 2015, 6:23 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Honingstock (Honingstock) has been the subject of at least two customer complaints, two financial disclosures, and three judgments and/or liens. [read post]
3 Aug 2015, 6:17 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Delguercio (Delguercio) has been the subject of at least eight customer complaints, two financial matters, and one employment separation. [read post]
11 Sep 2015, 5:41 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Dennis Lee (Lee) has been the subject of one customer complaint, four financial disclosures, and one employment separation. [read post]
9 Apr 2020, 5:57 am
FINRA Bars Fired Stifel Broker The Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred former Stifel Nicolaus (SF) stockbroker Steven Dale Rodemer. [read post]
26 Oct 2017, 4:21 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Smith has been accused by customers of unsuitable investment advice, securities fraud, and excessive trading among other claims. [read post]
6 Jan 2015, 7:10 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
14 Dec 2014, 11:04 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
21 May 2018, 10:07 am
Along with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) is one of the primary authorities with oversight of brokers and brokerage firms serving individual investors. [read post]
15 May 2024, 3:24 am
It is not quite 90% existing 10% new, but increasingly it seems that the effectiveness and appropriateness of our regulatory framework will rest on what we do with that 10%. [read post]
28 Dec 2020, 11:45 am
Regulatory comments surrounding unhosted, or noncustodial, wallets have attracted some criticism from the industry as potentially intruding on basic privacy rights of citizens. [read post]
