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31 May 2023, 1:44 pm
Noteworthy, Metromile Inc., a San Francisco-based technology startup, ful [read post]
24 May 2023, 4:00 am
California’s wildfire season now spans nearly the full calendar year. [read post]
22 May 2023, 10:59 am
FINRA Sanctions American Wealth Management for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined American Wealth Management $35,000. [read post]
17 May 2023, 12:30 pm
Parker was permitted to resign from her firm and consented to a permanent bar from the Financial Industry Regulatory Authority (FINRA). [read post]
16 May 2023, 9:01 pm
Starting in 2017, a subsidiary of mineral production company Compass Minerals International, Inc., allegedly began discharging e [read post]
16 May 2023, 9:18 am
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
10 May 2023, 9:59 am
In a recent regulatory case, on May 5, 2023, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers imposed sanctions on Centaurus Financial, Inc. and its financial advisor Donnie Ingram for engaging in unsuitable and unethical practices, as well as supervisory failures. [read post]
5 May 2023, 9:15 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
3 May 2023, 11:54 am
But as Coinbase, and others have pointed out, the SEC has not told the industry how that can be accomplished. [read post]
1 May 2023, 8:42 am
FINRA Indefinitely Suspends Broker Damian Baird for Alleged Misconduct According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has suspended financial advisor Damian Baird (CRD #3097243) from the securities industry. [read post]
1 May 2023, 8:30 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
27 Apr 2023, 9:05 pm
Foodborne illness can have a devastating impact, both personally and financially, on people’s lives, the cost of which reverberates through the economy. [read post]
27 Apr 2023, 6:19 am
”By withholding a formal response to Coinbase’s rulemaking petition, the SEC has insulated its refusal from the ordinary avenues of judicial review—and deprived the industry of the path to registration that the SEC insists industry must follow, Coinbase said. [read post]
25 Apr 2023, 8:33 am
The unannounced inspection was the latest in a series of regulatory actions, as antitrust officials ratchet up scrutiny of the fashion industry over possible anticompetitive practices. [read post]
25 Apr 2023, 8:09 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
25 Apr 2023, 8:00 am
Foodborne illness can have a devastating impact, both personally and financially, on people’s lives, the cost of which reverberates through the economy. [read post]
22 Apr 2023, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
21 Apr 2023, 6:20 am
Turner consented to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which permanently barred him from the Securities Industry. [read post]
20 Apr 2023, 12:45 pm
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self- regulator that oversees brokers and brokerage firms, has censured and fined Regal Securities (CRD # 7297) for supervisory issues. [read post]
19 Apr 2023, 11:50 am
Seattle Broker Michael Raineri Barred after Allegations of Conversion of Funds According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has barred financial advisor Michael Raineri (CRD # 4817588) from the securities industry. [read post]
