Search for: "Financial Industry Regulatory Authority"
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23 Jun 2009, 12:13 am
Overhaul the financial regulatory system, of course. [read post]
3 Sep 2009, 9:32 am
Nowhere is the ground shifting more than in financial institutions’ interaction with regulatory authorities. [read post]
12 Jul 2018, 7:53 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured Cetera Financial Specialists and fined the firm $200,000 for supervisory failures in connection with its brokers’ outside business activities. [read post]
4 Sep 2013, 1:07 pm
In November 2012, Neira executed a letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) concerning his sale of investments in Silver Oak. [read post]
5 Jun 2014, 8:50 am
The Financial Industry Regulatory Authority (FINRA) recently barred Ameriprise Financial Services (Ameriprise) broker Jeffrey Davis (Davis) concerning allegations that the broker committed securities fraud by converting client funds. [read post]
31 Mar 2018, 10:42 am
Stoltmann Law Offices continues to investigate Richard Gomez, who entered into a Decision with the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jul 2017, 6:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Walter Starghill (Starghill), in March 2017, was discharged by brokerage firm Lincoln Investment over allegations of Starghill’s “participation in a private securities transaction in violation of Firm policy. [read post]
6 Nov 2015, 9:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Damon Vickers (Vickers) has been the subject of at least three customer complaints, one regulatory investigation, and one criminal matter. [read post]
27 Jan 2011, 2:52 am
The Financial Industry Regulatory Authority ("FINRA"), which provides the arbitration mechanism for resolving securities disputes involving investment fraud, has published its 2010 arbitration statistics. [read post]
31 May 2024, 11:49 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
21 Apr 2016, 9:30 am
The United States Court of Appeals for the Fifth Circuit has ruled that federal diversity jurisdiction existed after the Financial Industry Regulatory Authority (“FINRA”) issued a $10,000 arbitration award. [read post]
26 Mar 2009, 9:30 am
First New York Securities LLC and four of its ex-traders have reached a settlement with the Financial Industry Regulatory Authority over allegations that they improperly covered short positions involving secondary offering shares, as well as engaged in associated oversight failures. [read post]
21 Apr 2015, 7:12 pm
“With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today issued a report to help broker-dealers assess, craft, or refine their policies and procedures for investors as they prepare for and enter into retirement. [read post]
7 Nov 2007, 4:56 pm
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have introduced an initiative that will assist broker-dealer chief compliance officers in maintaining compliance controls that work, creating effective communications about compliance risks, and implementing solid compliance programs at brokerage firms. [read post]
15 Nov 2011, 5:10 pm
Seniors are often an easy target for investment fraud – so much so that the Financial Industry Regulatory Authority (FINRA) is warning some broker/dealers about the use of designations that may imply special expertise in working with elderly investors. [read post]
7 Mar 2016, 9:46 am
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 1013038289101) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Nixon (Nixon). [read post]
5 Nov 2009, 11:10 am
The Act doubles the authorized funding for the SEC over the next 5 years and provides dozens of new enforcement powers and regulatory authorities. [read post]
15 Oct 2014, 9:30 pm
The DOT contends that Amtrak’s involvement was merely advising on new regulations and that the agency did not delegate regulatory authority. [read post]
5 Mar 2018, 3:55 pm
(“SRT”) may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their SRT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the financial advisor. [read post]
28 Sep 2015, 8:08 am
Ahrens received notice of an investigation by the Financial Industry Regulatory Authority (FINRA) for alleged misuse of consolidated reports. [read post]
