Search for: "Financial Industry Regulatory Authority"
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4 Aug 2021, 11:40 am
FINRA Reportedly Bars Broker Dan Jossen after Allegations of Misrepresentation involving VA sales According to the Financial Industry Regulatory Authority (FINRA) on June 25, the regulator reportedly barred financial advisor Daniel E. [read post]
3 Aug 2021, 6:59 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
3 Aug 2021, 7:41 am
Benefit Street Partners Realty Trust Investors May Be Looking At More Losses If you are an investor whose broker unsuitably recommended Benefit Street Partners Realty Trust, you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
3 Aug 2021, 2:10 am
This blog has been co-authored by: Hishaam Khan, candidate attorney While private equity funds are not regulated in South Africa, managers of such private equity funds are subject to the Financial Advisory and Intermediary Services Act (FAIS Act) and to the Financial Sector Conduct Authority (FSCA) in terms of the Financial Sector Regulation Act. [read post]
2 Aug 2021, 1:49 pm
Recover Your Money Through FINRA Arbitration This agency, formally known as the Financial Industry Regulatory Authority, Inc., is a private, self-regulated organization for the industry. [read post]
2 Aug 2021, 11:02 am
Res. 10, the repeal of the authorizations for use of military force against Iraq. [read post]
2 Aug 2021, 10:37 am
FINRA bars Former CFD Advisor Dana Vietor after Allegations of Unapproved Securities Sales On March 23, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly found that Vietor allegedly engaged in $3 million in sales of promissory notes to customers without disclosing and receiving approval from his member firms for each alleged private securities transaction. [read post]
2 Aug 2021, 9:39 am
FINRA Reportedly Suspends Kevin McCallum for Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended former LPL Financial advisor Kevin McCallum (CRD#: 2222586) for one year and reportedly ordered him to pay a fine of $25,000.00, disgorgement of $14,231.61 and restitution of $1,222,092.29. [read post]
2 Aug 2021, 7:41 am
Also, from 2018 to 2020, Todaro was a registered representative with Worden Capital Management, which last year was subject of a Financial Industry Regulatory Authority (FINRA) action related to the churning activities of its brokers. [read post]
30 Jul 2021, 8:21 am
Its positions are reasoned and formulated independently and solely in the interests of music creators, without financial influence or other undue interference from parties whose interests vary from or are in conflict with those of songwriters, composers, and other authors of creative works. [read post]
30 Jul 2021, 8:11 am
If you are an investor who has suffered losses while working with American Trust Investment Services broker David Geake, contact our Financial Industry Regulatory Authority (FINRA) arbitration attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) today. [read post]
30 Jul 2021, 7:58 am
“FSOC must act quickly to use its statutory authority to address cryptocurrencies’ risks and regulate the market to ensure the safety and stability of consumers and our financial system,” the Massachusetts Democrat wrote in a letter to Yellen. [read post]
29 Jul 2021, 7:32 am
In the wake of the Microsoft attack, the FBI requested and received a court order authorizing removal of backdoors from private email servers—the first time the bureau has exercised that type of direct remediation authority. [read post]
29 Jul 2021, 6:34 am
On June 30, 2021, it was announced that the Financial Industry Regulatory Authority (“FINRA”) – the regulator charged with overseeing the brokerage industry – levied nearly $70 million in sanctions against Robinhood for a variety of problems, including its instability and tendency to lock clients out of their accounts. [read post]
29 Jul 2021, 3:50 am
So one of the things that Casey references is a quote from Alex Hamilton, the author of the new book Sign Here. [read post]
28 Jul 2021, 8:07 am
Broker Alan Douglass Unsuitably Overconcentrated Investor’s Funds in Non-Publicly Traded Products An investor based in Lutz, Florida has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Securities America. [read post]
27 Jul 2021, 7:17 am
Older Couple’s Broker Overconcentrated More Than $2.2M of Their Funds in Now Defunct Investment An older retired couple from South America is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates, Inc. after they suffered a seven-figure loss in Northstar Financial Services (Bermuda). [read post]
26 Jul 2021, 10:29 pm
Feel free to get in touch with the authors if you have a question. [read post]
26 Jul 2021, 9:29 am
.: The Senate Homeland Security and Governmental Affairs Committee will hold a hearing on the resources and authorities needed to protect and secure the homeland. [read post]
26 Jul 2021, 7:28 am
FINRA Bars Boker Jason LaBelle after Allegations of Outside Business Activities According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Jason LaBelle (CRD #5654529) from the securities industry. [read post]
