Search for: "Financial Industry Regulatory Authority"
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13 Aug 2021, 2:40 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Cangialosi from the securities industry for nine months. [read post]
13 Aug 2021, 8:15 am
But the CMA approval was apparently the last domino standing for any regulatory holdups to the megadeal, as NCR quickly announced Tuesday that with British authorities’ approval the merger could be completed in short order. [read post]
13 Aug 2021, 8:15 am
But the CMA approval was apparently the last domino standing for any regulatory holdups to the megadeal, as NCR quickly announced Tuesday that with British authorities’ approval the merger could be completed in short order. [read post]
13 Aug 2021, 5:01 am
China has invested heavily in standards-setting in recent years, offering financial incentives to companies that propose standards or that obtain leadership roles in SSBs. [read post]
12 Aug 2021, 5:42 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Thomas Stratton from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
12 Aug 2021, 11:08 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Worden Capital Management LLC supervisor Henry Bones II. [read post]
12 Aug 2021, 9:10 am
Claimants are Older South American Investors Who Suffered Six-Figure Loss Two investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services, Inc., which is the broker-dealer unit of SunTrust Investment Services. [read post]
11 Aug 2021, 6:50 am
SEC Approves New FINRA Rule That Will Designate Some Brokerage Firms as “Restricted” The Financial Industry Regulatory Authority (FINRA) rule 4111, which will require certain brokerage firm members with histories of broker misconduct to put aside reserve funds to pay for both future and unpaid investor claims, has now been approved by the Securities and Exchange Commission (SEC). [read post]
10 Aug 2021, 11:21 am
On August 3, 2021, the Financial Industry Regulatory Authority (“FINRA”) and former Joseph Stone Capital L.L.C. stockbroker Eugene McAdams entered into a Letter of Acceptance, Waiver, and Consent No. 2020066887801 whereby Mr. [read post]
10 Aug 2021, 8:48 am
Rethinking Bias in Regulatory Administration, 69 Buff. [read post]
9 Aug 2021, 9:05 pm
Food safety education, agency updates, meet and greets for Eskin on May 20 held separate telephone conferences with industry and consumer representatives. [read post]
9 Aug 2021, 9:48 am
These Financial Industry Regulatory Authority (FINRA) sanctions were imposed after the self-regulatory organization (SRO) found that all three of them either inappropriately or incorrectly applied for federal COVID-relief loan programs geared towards small businesses in the wake of the coronavirus pandemic. [read post]
9 Aug 2021, 9:10 am
Experience conducting or overseeing financial statement audits 2. [read post]
9 Aug 2021, 5:27 am
Someone hit the wrong button while online and agreed to do something that was never intended.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... [read post]
6 Aug 2021, 7:42 am
Chu was barred by the Financial Industry Regulatory Authority (FINRA) last year. [read post]
5 Aug 2021, 2:23 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
5 Aug 2021, 12:33 pm
FINRA is investigating Robinhood over its CEO, Vlad Tenev’s, failure to register as a broker with the Financial Industry Regulatory Authority, a self-regulatory organization responsible for overseeing the brokerage industry. [read post]
5 Aug 2021, 8:09 am
FINRA Reportedly Bars Broker Eugene McAdams after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor EUGENE ARTHUR MCADAMS (CRD#: 419021) after he reportedly refused to provide on-the-record testimony requested by FINRA in connection with its investigation into the alleged suitability of his recommended securities transactions in… [read post]
5 Aug 2021, 7:17 am
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
4 Aug 2021, 9:03 pm
Although both state and federal authorities administer the Clean Water Act, the law recognizes that states “lack regulatory authority over Indians in Indian country unless clearly authorized to do so. [read post]
