Search for: "Financial Industry Regulatory Authority"
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24 Aug 2021, 6:17 am
On Friday, August 13, the Financial Industry Regulatory Authority issued Regulatory Notice 21-29 (the “Notice”), a timely reminder that summarizes and reiterates firms’ supervisory obligations when outsourcing to third-party vendors. [read post]
23 Aug 2021, 1:39 pm
Event Announcements (More details on the Events Calendar) Tuesday, August 24, 2021, at 10:00 a.m.: The Brookings Institution will host an event on how veterans can protect American democracy. [read post]
23 Aug 2021, 1:08 pm
Two Pending Investment Arbitration Claims Allege “Unsuitable” Investment Recommendations According to Ianace’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), two of Ianace’s customers recently initiated securities arbitrations—one against Wells Fargo and one against Merrill Lynch—relating to the alleged mishandling of their accounts: One customer alleges Ianace “made unsuitable… [read post]
23 Aug 2021, 12:14 pm
David Volpe Discharged From Firms For Improper Private Transactions & Borrowing From Customers According to Volpe’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), Volpe has been discharged from two different brokerage firms: In December 2018, Volpe was discharged from LPL for an alleged “violation of the Firm’s private securities transactions policy for involvement in capital-raising efforts without… [read post]
23 Aug 2021, 10:48 am
FINRA Bars Broker Jeffrey Anderson after Allegations of Stealing from Elderly Client According to the Financial Industry Regulatory Authority (FINRA) on August 2, the regulator has barred financial advisor Jeffrey Scott Anderson (CRD # 5993214) of Bloomington, IL, after allegations of stealing $26,600 from a customer. [read post]
23 Aug 2021, 5:01 am
Data brokers constitute a large yet secretive industry of companies buying, aggregating, selling, licensing and otherwise sharing consumer data. [read post]
23 Aug 2021, 4:00 am
Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her. [read post]
22 Aug 2021, 6:49 am
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, Garrett Scott Neubart submitted a L... [read post]
20 Aug 2021, 2:50 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Wright from the securities industry. [read post]
20 Aug 2021, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Debasish Hajra from the securities industry for 30 calendar days. [read post]
20 Aug 2021, 1:48 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbrokers Alfonse Stazzone and Maxim Beliakov from the securities industry for four months. [read post]
20 Aug 2021, 2:09 am
The Financial Conduct Authority (FCA) has published the latest portfolio letter to life insurance firms. [read post]
19 Aug 2021, 11:39 am
Recently, the Financial Industry Regulatory Authority (FINRA) reached a regulatory settlement with Cambridge Investment Research in which the firm was formally censured, fined $400,000, and ordered to pay restitution of $3 million to certain customers who purchased LJM. [read post]
19 Aug 2021, 3:32 am
All the authors of the instruction are judges, and the MD JA is located in the Minnesota judicial center. [read post]
18 Aug 2021, 9:08 pm
Other countries have applied the sandbox concept to their financial industries. [read post]
18 Aug 2021, 1:21 pm
” To help combat the financial exploitation of seniors, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and North American Securities Administrators Association (NASAA), have joined forces to offer a new training program to securities companies to better protect their over-65 clients. [read post]
18 Aug 2021, 6:00 am
FinCEN’s mission is to “safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence and strategic use of financial authorities. [read post]
16 Aug 2021, 9:12 am
Vanderbilt Financial Advisor Accused of Using “Worst” Sales Tactics to Sell GPB Investments If you suffered financial losses while working with Vanderbilt Financial registered representative Jeffrey Lewis Gitterman, you may have grounds for pursuing damages through Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
16 Aug 2021, 8:12 am
Experience conducting or overseeing financial statement audits 2. [read post]
16 Aug 2021, 7:05 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Jason Seale from the securities industry for 15 business days. [read post]
