Search for: "Financial Industry Regulatory Authority"
Results 2341 - 2360
of 11,225
Sort by Relevance
|
Sort by Date
22 Jun 2021, 9:21 am
The Financial Industry Regulatory Authority (“FINRA”) and Farmers Financial Solutions, LLC (“Farmers Financial”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017052173001 on June 21, 2021, after FINRA alleged supervisory failures related to variable universal life insurance contracts (“VUL”) and mutual fund businesses. [read post]
22 Jun 2021, 8:56 am
’s recent Focus Report to the Securities and Exchange Commission (SEC), the firm is contending with four pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers alleging damages of approximately $4.5M. [read post]
22 Jun 2021, 7:37 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Kevin McCallum from the securities industry for one year. [read post]
20 Jun 2021, 7:37 am
Under the agreement, Ocugen was responsible for clinical development, regulatory approval (including obtaining an Emergency Use Authorization [EUA], and commercialization of COVAXIN in the U.S. [read post]
18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
18 Jun 2021, 10:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Marc Lippman from the securities industry. [read post]
18 Jun 2021, 8:48 am
The report suggests three reasons for Ireland’s poor performance in these respects: the Financial Crisis; Irish constitutional jurisprudence (“the most significant challenge”); and its voluntarist model of industrial relations. [read post]
18 Jun 2021, 8:16 am
Legal and Regulatory Developments SPOTLIGHT: Lina Khan, Prominent Big Tech Critic, Will Lead the FTCNPR – June 15, 2021 President Joe Biden has named Lina Khan as the chairwoman of the Federal Trade Commission, giving the regulatory authority’s top spot to one of Silicon Valley’s most prominent critics. [read post]
17 Jun 2021, 7:26 am
FINRA Reportedly Bars Salvatore Pizzimenti after Customer Complaints Allege Churning, Unsuitability According to public documents posted on June 11, 2021, the Financial Industry Regulatory Authority (FINRA) has barred Worden financial advisor Salvatore Pizzimenti in connection to an investigation into his trading of customer accounts. [read post]
16 Jun 2021, 1:17 pm
FINRA Alleges Marc Reda Excessively Traded 19 Customer Accounts in Unsuitable Strategy According to public documents posted on June 15, the Financial Industry Regulatory Authority (FINRA) is investigating financial advisor Marc A. [read post]
16 Jun 2021, 12:55 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Marc Reda. [read post]
16 Jun 2021, 12:32 pm
While employed by REJ, Badgerow signed an agreement to arbitrate any disputes she had with Ameriprise or its affiliates, which included the three principals for whom she worked, before an arbitration panel of the Financial Industry Regulatory Authority (FINRA). [read post]
15 Jun 2021, 6:25 pm
Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource…Read the Full Press ReleaseHave a securities law question? [read post]
15 Jun 2021, 9:02 am
Catastrophic damage to the U.S. economy, including disrupting the financial market, disrupting transportation systems, and rendering critical technology services unavailable. [read post]
14 Jun 2021, 1:05 pm
According to his broker profile, the Financial Industry Regulatory Authority (FINRA) reportedly barred McGonigle as of November 16, 2020 after he allegedly failed to respond to FINRA’s request for information. [read post]
14 Jun 2021, 12:39 pm
The authors explain that in the aftermath of George Floyd’s death, which resulted in greater calls for racial equity and social justice as well as historic financial commitments by the banking industry to address those issues, there has been renewed interest in SPCPs. [read post]
14 Jun 2021, 9:59 am
The subcommittee will hear testimony from Ivan Garces, chair of risk advisory services at Kaufman Rossin; Eric Lorber, senior director for the Center on Economic and Financial Power at the Foundation for Defense of Democracies; Lakshmi Kumar, policy director for Global Financial Integrity; Jesse Spiro, global head of policy and regulatory affairs at Chainalysis; and Jeffrey Taliaferro, professor at Tufts University. [read post]
14 Jun 2021, 9:51 am
” Texas has taken a deliberated approach towards evaluating virtual currency activity under the state’s financial services regulatory framework. [read post]
14 Jun 2021, 8:09 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Peter Suyama from the securities industry for 20 days. [read post]
14 Jun 2021, 8:09 am
Companies face only a patchwork of vague disclosure requirements imposed by state privacy laws, the Federal Trade Commission, securities laws, and industry-specific regulatory bodies. [read post]
