Search for: "Financial Industry Regulatory Authority"
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1 Jul 2021, 9:15 am
On June 30, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Robinhood entered into a Letter of Acceptance, Waiver, and Consent No. 202006671201 (the “AWC”), whereby Robinhood consented to pay approximately $70 million for alleged systemic supervisory failures and significant harm suffered by millions of customers. [read post]
1 Jul 2021, 6:40 am
FINRA Bars Matthew Alexander Perry (Alex Perry) after Allegations of Unauthorized & Unsuitable Trades According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Matthew Alexander Perry (CRD #5985300) of Columbia MO after he purportedly failed to provide information in its investigation of alleged misconduct. [read post]
1 Jul 2021, 5:50 am
” “Not only does the seventh E-Discovery Unfiltered report highlight an array of industry developments and perspectives on the companies that are driving change, but this year, it provides a number of key impressions on how this sector is likely to evolve in a post-pandemic litigation environment,” said Ari Kaplan, principal of Ari Kaplan Advisors and the author of the E-Discovery Unfiltered report. [read post]
1 Jul 2021, 3:00 am
The state of emergency also enables flexibilities in regulatory requirements and procurement processes to mitigate drought impacts and directs state water officials to expedite the review and processing of voluntary transfers of water from one water right holder to another. [read post]
1 Jul 2021, 3:00 am
The state of emergency also enables flexibilities in regulatory requirements and procurement processes to mitigate drought impacts and directs state water officials to expedite the review and processing of voluntary transfers of water from one water right holder to another. [read post]
30 Jun 2021, 6:16 pm
The Financial Industry Regulatory Authority (FINRA) on Wednesday levied $57 million in fines against Robinhood Financial LLC. [read post]
30 Jun 2021, 8:50 am
On June 30, 2021, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Robinhood Financial LLC to pay approximately $70 million for systemic supervisory failures and significant harm suffered by millions of customers. [read post]
29 Jun 2021, 10:55 am
The 2021 National Defense Authorization Act, Pub. [read post]
29 Jun 2021, 6:30 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
28 Jun 2021, 6:09 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Matthew Alexander Perry (“Alex Perry”) from the securities industry. [read post]
28 Jun 2021, 12:17 pm
FINRA Bars former Advisor Nathan Katz after Allegations of Misconduct According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Nathan Gersteen Katz (CRD#: 846475) from association with any FINRA member at any time. [read post]
28 Jun 2021, 11:52 am
On June 25, 2021, Merrill Lynch and the Financial Industry Regulatory Authority (“FINRA”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017053437701 (“AWC”) over allegations that between January 2011 and December 2015, Merrill Lynch violated NASD and FINRA rules for failing to maintain an adequate supervisory system and written procedures to monitor Unit Investment Trusts transactions. [read post]
28 Jun 2021, 11:51 am
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]
27 Jun 2021, 4:15 pm
Its authors argue for a fresh approach in light of the UK having left the EU. [read post]
25 Jun 2021, 5:03 pm
The SEC’s involvement has opened a debate on the possibility of “regulatory overreach” by this financial watchdog. [read post]
25 Jun 2021, 8:52 am
Industry Developments SPOTLIGHT: Visa to Buy Swedish Fintech Tink for $2.1 Billion After Abandoning Plaid TakeoverCNBC – June 24, 2021 Visa agreed Thursday to acquire Swedish financial technology start-up Tink for 1.8 billion euros ($2.1 billion), in a deal aimed at bolstering the payment giant’s digital ambitions. [read post]
25 Jun 2021, 5:43 am
The Financial Industry Regulatory Authority (FINRA) shares responsibility with the U.S. [read post]
23 Jun 2021, 7:43 am
Sven Giegold (Greens, DE) agreed with Van Overtveldt on widening the DLTR’s scope to include more financial products, but warned against possible regulatory arbitrage. [read post]
23 Jun 2021, 7:41 am
Author: Alexander Oakes, J.D. [read post]
23 Jun 2021, 7:28 am
Non-Traded REIT Seeks To Restructure $1.3B in Unsecured Debt If you are an investor whose broker recommended that you invest in Hospitality Investors Trust (HIT), you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
