Search for: "Financial Industry Regulatory Authority"
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15 Oct 2021, 8:40 pm
On 14 October 2021, the Financial Conduct Authority (FCA) published a speech by its new Executive Director for Markets, Sarah Pritchard, in which she discusses the key themes for the FCA which are, partnership, priorities and future predictions. [read post]
15 Oct 2021, 10:25 am
YES Strategy Investors Suffer Losses, Say Risks Were Misrepresented Another Financial Industry Regulatory Authority (FINRA) arbitration claim has been filed against UBS Financial for losses sustained in its Yield Enhancement Strategy. [read post]
15 Oct 2021, 10:00 am
Chicago-based Stoltmann Law Offices is investigating allegations against Eric Hollifield that came to light as a result of a regulatory filing by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Oct 2021, 9:54 am
FINRA Bars Edgar Kleydman after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), on October 14, 2021 the regulator has barred financial advisor Edgar Kleydman (CRD #2727571) from associating with any FINRA member at any time. [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
15 Oct 2021, 6:54 am
FINRA Bars Worden Capital Management’s CEO after Failure to Provide Information in Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred the CEO of Worden Capital Management (CRD# 148366) on October 14, 2021, after allegations of failure to supervise, negligent supervision and churning, among others. [read post]
15 Oct 2021, 5:42 am
This may arise when many of the companies in the same industry discuss or disclose a particular regulation. [read post]
14 Oct 2021, 9:03 pm
The authors recommended that governments undertake a “regulatory reboot” to address new policy challenges, including those posed by the COVID-19 pandemic. [read post]
14 Oct 2021, 11:58 am
FINRA Bars Nick Palumbo after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Nicholas R. [read post]
14 Oct 2021, 5:04 am
Lack of Understanding of Current Industry Practices In examining global regulatory initiatives, we are concerned that policymakers underestimate the current efforts being made by the global tech industry. [read post]
13 Oct 2021, 11:17 am
” The proposed model rules will provide a basis for enforcement actions to address unpaid Financial Industry Regulatory Authority (FINRA) arbitration awards by allowing NASAA member jurisdictions to “prevent the registration of firms and individuals in any capacity if the firm or individual has an outstanding arbitration award. [read post]
12 Oct 2021, 11:59 am
Ex-Raymond James Broker Sara Komischke Unsuitably Recommended Off-Shore Investment A Maine investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Raymond James Financial Services, Inc. over his Northstar Financial Services (Bermuda) investment losses. [read post]
12 Oct 2021, 8:04 am
According to Henley’s BrokerCheck Report published by the Financial Industry Regulatory Authority (FINRA), the defendant brokerage arm of the firm (Henley & Company LLC) apparently failed to disclose the existence of its10 Beatty Road satellite office to FINRA. [read post]
11 Oct 2021, 7:59 pm
According to the DOJ announcement, DOJ expects the initiative to: Build broad resiliency against cyber security intrusions across the government, the public sector and key industry partners. [read post]
11 Oct 2021, 11:58 am
Former Wisconsin Financial Advisor is Accused of Defrauding at Least 100 Advisory Clients Michael Francis Shillin, who was barred by the Financial Industry Regulatory Authority (FINRA) and Wisconsin’s Officer of the Commissioner of Insurance (OCI) in January 2021, is now facing Securities and Exchange Commission (SEC) charges. [read post]
11 Oct 2021, 11:10 am
The event will feature the authors, Mark Philip Bradley, professor of history at the University of Chicago; and Mark Dudziak, professor of law at Emory University. [read post]
