Search for: "Financial Industry Regulatory Authority"
Results 2281 - 2300
of 11,225
Sort by Relevance
|
Sort by Date
15 Jul 2021, 9:03 pm
Biden signed an executive order to fight concentration across industries in the American economy by strengthening the enforcement of antitrust laws. [read post]
15 Jul 2021, 6:43 pm
The Report follows; its annexes are rich with resources for individuals who are interested in the increasingly dense regulatory environment (mandatory, national, international, and discretionary or markets based) many companies now face in managing the human rights risks of their economic activities. [read post]
15 Jul 2021, 2:26 pm
The brokerage industry is regulated by the Financial Industry Regulatory Authority (FINRA), which, until recently, has long imposed FINRA Rule 2111, known as the “Suitability Rule” on all licensed stockbrokers and the brokerage firms that employ them. [read post]
15 Jul 2021, 11:01 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Jul 2021, 7:47 am
FINRA Reportedly Suspends Douglas Szempruch after Allegations of Unsuitable & Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Douglas Szempruch (CRD # 4159318) of Melville, NY from the securities industry for one year. [read post]
15 Jul 2021, 5:25 am
FINRA Reportedly Bars Tyler Rigsbee after Allegations of Misdirection of Client’s funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Tyler Rigsbee (CRD #6351278) from working in the securities industry after he allegedly failed to provide information in its investigation. [read post]
14 Jul 2021, 9:23 am
According to public records posted on FINRA’s site on July 1, the Financial Industry Regulatory Authority has reportedly censured and fined Sanctuary Securities $160,000 and ordered the firm to pay more than $360,000 in restitution to customers for alleged failure to properly supervise their reps’ solicited sales of non-traditional ETFs, among other misconduct. [read post]
14 Jul 2021, 6:30 am
Old Mutual Investor Seeks Up To $500K in Damages An investor from Mexico has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against J.P. [read post]
13 Jul 2021, 8:42 am
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on July 1, 2021, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Stuart L. [read post]
13 Jul 2021, 5:54 am
The SEC alleges that this Texas-based RIA made materially false and misleading statements to investors about expected financial returns and the financial health of these companies. [read post]
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
13 Jul 2021, 4:27 am
Family of Senior Investor Pursues Up to $500K in Damages on His Behalf The family of a Connecticut widower has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against David Lerner Associates after the older investor suffered a six-figure loss in Energy 11 and Energy Resources 12, which are sold exclusively by the brokerage firm to its customers. [read post]
12 Jul 2021, 2:48 pm
FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Christopher Orlando (CRD #4136262) from associating with any FINRA member at any time. [read post]
12 Jul 2021, 2:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Aegis Capital Corp. financial advisor Douglas Szempruch from the securities industry for 12 months. [read post]
12 Jul 2021, 12:16 pm
One is the Texas lawsuit filed by the Consumer Financial Services Association (CFSA) and another industry trade group seeking to invalidate the 2017 Rule’s payments provisions. [read post]
12 Jul 2021, 10:42 am
Northstar (Bermuda) Investor is Seeking Up to $500K in Damages An investor in Nagoya, Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Bancwest Investment Services after she suffered six-figure losses in Northstar Financial Services (Bermuda). [read post]
12 Jul 2021, 9:01 am
CORE DUTIES: Lead strategic planning and analysis for complex functions or programs with significant business, regulatory and/or technical challenges requiring subject matter expertise. [read post]
The Algorithms of Death: RESPECT: An Algorithm for Predicting Time to Death for 'Frail Older Adults'
12 Jul 2021, 5:30 am
It would be quite tempting (and we speak here of temptations in multiple sectors and among multiple parties--so great is the potential of algorithms like this one) for example for the financial industry to insist (or to find ways of developing their own mirroring metrics) on the use of this predictive analytics as an aid for everything for pricing coverage (insurance) to rating creditworthiness. [read post]
10 Jul 2021, 7:00 am
Colombian conditions in which journalists are not attacked at demonstrations, but discreetly and costly by representatives of the white collar industry. [read post]
10 Jul 2021, 7:00 am
Colombian conditions in which journalists are not attacked at demonstrations, but discreetly and costly by representatives of the white collar industry. [read post]
9 Jul 2021, 10:29 am
The Financial Industry Regulatory Authority’s Office of Hearing Officers has suspended stockbroker Kishan (Sean) Parikh for excessive trading and unauthorized trading. [read post]
