Search for: "Financial Industry Regulatory Authority"
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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]
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
26 Jul 2021, 7:16 am
., has been censured by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jul 2021, 6:15 am
Barriers are also present with respect to employment in the financial industry, Peirce said. [read post]
23 Jul 2021, 9:03 pm
Anker-Sørensen and Zetzsche argue that innovation should be encouraged but also carefully regulated, such as through regulatory sandboxes and other smart regulation tools in the fintech industry. [read post]
23 Jul 2021, 8:38 am
The digital currency might be a “measured path” to combat big tech monopolies, the authors argue. [read post]
23 Jul 2021, 8:12 am
Hill Securities According to the Financial Industry Regulatory Authority (FINRA) on July 22, the regulator has censured and fined D. [read post]
23 Jul 2021, 3:00 am
Texas-Based Brokerage Firm Accused of Overconcentration & Supervisory Failures NEXT Financial Group has arrived at a $750K settlement with the Financial Industry Regulatory Authority (FINRA) to resolve claims that the Texas-based broker-dealer overconcentrated customer accounts in Puerto Rico municipal bonds and did not have the kind of supervisory system that could have identified unsuitable trades. [read post]
22 Jul 2021, 10:35 am
The latter can be difficult to measure, but metrics on social media engagement, website traffic, and collaboration with industry and academia can help. [read post]
22 Jul 2021, 3:00 am
Former Tucson, Arizona Financial Advisor Has Two Pending Complaints on Record If you suffered losses while working with ex-Morgan Stanley registered representative Francisco Javier Valenzuela, you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. [read post]
21 Jul 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Enoch Booth from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
20 Jul 2021, 12:40 pm
Not to be outdone, on June 30 the New York Department of Financial Services (DFS) issued an Industry Letter on ransomware to its regulated entities with ransomware prevention steps and guidance on when entities “should” report ransomware attacks to DFS. [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
20 Jul 2021, 1:00 am
Already, we’ve filed several Financial Industry Regulatory Authority (FINRA) arbitration claims against broker-dealers on behalf of investors. [read post]
19 Jul 2021, 11:54 am
Event Announcements (More details on the Events Calendar) Tuesday, July 20, 2021, at 10:00 a.m.: The House Foreign Affairs Subcommittee on the Western Hemisphere, Civilian Security, Migration and International Economic Policy will hold a hearing on the historic protests in Cuba. [read post]
19 Jul 2021, 8:00 am
On the heels of the Financial Industry Regulatory Authority’s (“FINRA”) record-breaking financial penalty against app-based investing platform Robinhood, it’s a fitting time to consider recent trends within FINRA’s industry-wide arbitration process. [read post]
17 Jul 2021, 8:56 am
Pix Credit HERELeadership is measured, in part, by the authority of a person or institution to drive change. [read post]
17 Jul 2021, 2:37 am
The new monopolistic media environment: A second scenario was highlighted by Alexandra Borchardt, who stressed the deep structural as well as financial dependency of the news industry on companies like Google and Facebook for funding and investment. [read post]
16 Jul 2021, 9:03 pm
Fisher claims that lack of regulatory oversight from HRSA, in part due to court decisions stripping the agency of its rulemaking authority, has permitted both drug manufacturers and health care providers to subvert the purpose of the program. [read post]
16 Jul 2021, 7:08 am
An excellent read for industry professionals.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, Luis Fernando Restrepo submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 Jul 2021, 6:01 am
Talk to a Securities Fraud Attorney About Filing for Arbitration The securities fraud attorneys at Zamansky LLC have decades of experience helping investors recover their fraud losses through arbitration with the Financial Industry Regulatory Authority (FINRA). [read post]
