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28 May 2021, 6:27 am
Hopkins’ BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA) contains several recent disclosures, including two customer disputes, a regulatory action initiated by FINRA, as well as a Complaint filed by the United States Securities and Exchange Commission (SEC). [read post]
27 May 2021, 9:03 pm
These restrictions could lead to repercussions for the oil and gas industry because the potentially protected lesser prairie chickens reside on land that is rich in fossil fuels. [read post]
27 May 2021, 9:15 am
FCA Extends SCA Deadline by a Further Six MonthsFinextra – May 20, 2021 The UK’s Financial Conduct Authority is to delay the implementation of strong customer authentication rules by a further six months in an effort to minimise disruption to consumers and merchants. [read post]
27 May 2021, 7:47 am
FINRA Reportedly Decides Mercer Hicks III Recommended Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA), the regulator’s hearing has reportedly rendered a decision on May 19, 2021 wherein broker Mercer Hicks III, of Charlotte, NC, is barred from association with any FINRA member in all capacities and ordered to pay disgorgement to FINRA in the amount of $38,812.60 in commissions received. [read post]
26 May 2021, 8:50 pm
In that regard, the Working Group discussed the importance of preserving the global asset management industry’s portfolio management delegation model, continuing cooperative efforts to promote the free flow of cross-border financial services data, and the need to avoid regulatory fragmentation and data localization as financial authorities seek to strengthen operational resilience in the financial sector. [read post]
25 May 2021, 11:41 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended Triad Advisors LLC broker Mark Just from the securities industry for three months for willfully failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose two state tax liens, which totaled $37,333.80. [read post]
25 May 2021, 7:39 am
The regulatory vulnerability of Chinese Big Tech, in turn, facilitates their cooperation with Beijing to help the latter achieve its goals, be it in antitrust or other industrial policy matters. [read post]
25 May 2021, 6:20 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Xerxes Mullan (Mullan) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
25 May 2021, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Timothy O’Brien (O’Brien), formerly employed by Feltl & Company has been subject to numerous disclosures including at least six customer complaints, two criminal matters, four judgement or tax liens, and regulatory complaints during the course of his career. [read post]
24 May 2021, 1:21 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker Mercer (“Toby”) Hicks III from the securities industry for making unsuitable investment recommendations to five elderly customers ranging in age from 73 to 88 years old. [read post]
24 May 2021, 7:26 am
That is the same year that Financial Industry Regulatory Authority (FINRA) barred him from the industry. [read post]
24 May 2021, 7:22 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
23 May 2021, 10:12 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
22 May 2021, 12:04 pm
Further, he did not demonstrate that any of the authorities he relied on would be reasonably relied on by other experts in his field to reach an opinion regarding causation. [read post]
22 May 2021, 2:07 am
This may save time, financial and human resources when trying to find treatments. [read post]
21 May 2021, 12:48 pm
Whistleblowers Needed In light of the horrifying number of Covid-19 deaths in nursing homes, Congress has renewed its efforts to investigate and increase private and PE ownership reporting in the healthcare industry. [read post]
21 May 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Carl Antaki from the securities industry for three months. [read post]
21 May 2021, 4:00 am
The White House also released the first and second families’ financial public financial disclosure reports. [read post]
20 May 2021, 2:12 pm
Merrill Lynch Reportedly Pauses Cold Calling in Training Program According to Advisor Hub this week, the Financial Industry Regulatory Authority is investigating possible cold calling violations at Merrill Lynch Wealth Management’s advisor training program. [read post]
20 May 2021, 8:43 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Matthew Siliato from the securities industry. [read post]
