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9 Jul 2021, 10:11 am
Reserve Bank Sees No ‘Policy Case’ for Digital Aussie Dollar Just YetZDNet – July 6, 2021 The Reserve Bank of Australia (RBA), alongside its Council of Financial Regulators partners — RBA, Treasury, the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission — has been looking into a potential central bank digital currency (CBDC). [read post]
9 Jul 2021, 9:58 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ronald Giovino from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
8 Jul 2021, 11:33 am
” Finally, consultation could help industry by reducing the degree of conflicting regulatory requirements. [read post]
8 Jul 2021, 11:21 am
In Part I of this two-part podcast, we discuss the government policies that have contributed to or caused the financial crises faced by the U.S. over the past 200 years, how the consumer financial services industry can benefit from smarter regulation and a principles-based rather than a rules-based regulatory system, and how regulators can better utilize technological innovation. [read post]
8 Jul 2021, 3:00 am
SRO Was Investigating Trading Activity in Customers’ Accounts The Financial Industry Regulatory Authority (FINRA) has barred Salvatore Pizzimenti from the industry. [read post]
7 Jul 2021, 1:40 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
7 Jul 2021, 1:06 pm
According to Shafer’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), Shafer’s discharge stemmed from allegations that he “borrowed money from an existing client without firm pre-approval, in contradiction of firm policies. [read post]
7 Jul 2021, 12:13 pm
Relatedly, on July 2, 2021, FINRA suspended former Sanctuary Securities, Inc. financial advisor Stuart Pearl from the securities industry for three months. [read post]
7 Jul 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Gary Bowman from the securities industry for three months and fined him $10,000. [read post]
7 Jul 2021, 9:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Tyler Rigsbee from the securities industry for refusing to cooperate with a FINRA investigation. [read post]
7 Jul 2021, 7:00 am
The areas of interest are quite varied and impact numerous industries. [read post]
7 Jul 2021, 3:58 am
Offshore VIEs were set up and then used to access foreign financial markets and to stash profits far from Chinese tax authorities. [read post]
6 Jul 2021, 2:12 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor John Swon from the securities industry. [read post]
6 Jul 2021, 12:14 pm
Work with the Finance team to develop internal financial reports by grant and contract (such as fund utilization, budgeted vs. actual) and highlight any critical deviations. [read post]
6 Jul 2021, 7:48 am
Over 3,000 Customers May Have Been Charged More Than $8.4M in Excessive Sales Fees The Financial Industry Regulatory Authority (FINRA) announced that Merrill Lynch, Pierce, Fenner & Smith will pay approximately $8.4M in restitution and an over $3.2M fine to settle charges alleging supervisory failures involving unit investment trust (UIT) rollovers. [read post]
6 Jul 2021, 7:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Juan Ceja from the securities industry. [read post]
2 Jul 2021, 9:52 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Stuart Pearl from the securities industry for three months. [read post]
2 Jul 2021, 8:06 am
(Ethics Council Recommendation, Summary ).The justification is particularly important because of its ramifications for apex company liability, and the scope of their regulatory positive obligations. [read post]
2 Jul 2021, 7:47 am
Investors Lose $934,000 From Allegedly Unsuitable Trading Strategy The Financial Industry Regulatory Authority (FINRA) has filed a 37-page complaint against Spartan Capital Securities registered representative, Mark Augustus Reda. [read post]
1 Jul 2021, 3:12 pm
On July 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) and broker Christopher Orlando entered into a Letter of Acceptance, Waiver, and Consent No. 2017056432603 after FINRA alleged that from October 2015 through December 2018, Mr. [read post]
