Search for: "Financial Industry Regulatory Authority"
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4 Jun 2021, 10:22 am
Former Vancouver, Washington Financial Adviser Has 21 Disclosures On Record Jeffrey Raymond Dixson, an ex-Madison Avenue Securities investment advisor and stockbroker, is the subject of at least 10 Financial Industry Regulatory Authority (FINRA) arbitration claims in which the customers are seeking damages for their GPB private placement losses. [read post]
4 Jun 2021, 7:31 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Nicholas Palumbo from the securities industry. [read post]
3 Jun 2021, 9:03 pm
Edwards proposed that state governments should combat this trend by eliminating laws that require new entrants in certain industries to obtain approval from regulatory agencies, reviewing licensing rules under cost-benefit analyses, and cutting regulations that raise labor costs. [read post]
3 Jun 2021, 1:04 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker James W. [read post]
3 Jun 2021, 5:42 am
The DFSA has adopted a regulatory approach modelled, in part, on the former Financial Services Authority in the UK. [read post]
2 Jun 2021, 11:30 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against brokerage firm NYPPEX, LLC (CRD No. 47654), Former Chief Executive Officer (“CEO”) Laurence Allen (CRD No. 1063970), and Chief Compliance Officer (“CCO”) Michael Schunk (CRD No. 732595). [read post]
2 Jun 2021, 7:05 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Couture last October after LPL reportedly submitted a Form U5 terminating his registration and alleging that he altered identifying information, account balances and distributions in customer account statements; and used an unapproved email address. [read post]
2 Jun 2021, 5:56 am
Broten was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity under the terms of a Letter of Acceptance, Waiver and Consent dated October 1, 2020, accessible here. [read post]
1 Jun 2021, 12:14 pm
Act as a key representative on privacy, data & AI issues before policymakers, regulatory agencies, civil society organizations, industry and the broader public. [read post]
1 Jun 2021, 9:43 am
During a May 19, 2021 webcast at the Financial Industry Regulatory Authority’s (“FINRA”) annual conference, Amy Sochard, FINRA’s Vice President of Advertising Regulation, indicated that the organization will seek public feedback on gamification practices utilized by some stock trading platforms to attract investors with a view toward issuing new rules or guidance. [read post]
1 Jun 2021, 8:43 am
On the same day, Securities and Exchange Commission (SEC) Chair Gary Gensler voiced similar views with respect to the financial industry, telling annual Financial Industry Regulatory Authority (FINRA) conference attendees that “the SEC and FINRA should be ready to bring cases involving issues such as crypto, cyber and fintech” while highlighting investor protection. [read post]
1 Jun 2021, 7:31 am
Our Energy 11 investment fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this retiree in her Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
31 May 2021, 1:10 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Batstone’s customer complaints alleges that Batstone recommended unsuitable investments in various investments including allegations involving private securities, annuities, mutual funds, and REITs, among other allegations of misconduct relating to the handling of their accounts. [read post]
31 May 2021, 7:38 am
New York Financial Adviser Has Multiple Customer Disputes on Record The Financial Industry Regulatory Authority (FINRA) has suspended ex-MML Investors Services LLC broker Adam Gerard Belardino. [read post]
31 May 2021, 7:16 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Jeffrey Warren from the securities industry. [read post]
28 May 2021, 1:17 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 May 2021, 12:19 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 May 2021, 8:56 am
Unfortunately, there just doesn't seem to be a satisfactory answer to that seminal question, which leaves the supervisor in an uncomfortable posture.Reynolds 2015 AWCFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, S... [read post]
28 May 2021, 8:24 am
Colombian Claimants Allege Negligence, Misrepresentations, and Failure to Supervise Two investors from Bogota, Colombia are pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services for the losses they suffered in Northstar Financial Services (Bermuda). [read post]
28 May 2021, 8:02 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
