Search for: "Financial Industry Regulatory Authority"
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4 May 2021, 7:18 am
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. [read post]
4 May 2021, 6:13 am
The banking licence requirement does not apply to advance payments, extensions of payment terms, property finance lease arrangement and intragroup treasury operations, pursuant to the French Monetary and Financial Code. [read post]
3 May 2021, 2:53 pm
Equity for Rep’s alleged Unsuitable VA Sales According to public records posted on FINRA’s site this week, the Financial Industry Regulatory Authority has censured and fined O. [read post]
3 May 2021, 2:25 pm
FINRA And Arizona Corporation Commission Investigate Scott Reed After learning of allegations concerning Reed following his termination from Wells Fargo, the Financial Industry Regulatory Authority (FINRA) began an investigation into Reed’s conduct. [read post]
3 May 2021, 6:54 am
Claimant Suffered Significant Losses in Non-Traded Oil and Gas Investment An investor recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm, David Lerner Associates for losses he sustained in the Energy 11, LP, an oil and gas private placement that many of the firm’s brokers have sold exclusively to customers. [read post]
2 May 2021, 9:05 pm
The Financial Industry Regulatory Authority’s (FINRA) current exam priorities are more explicit. [read post]
30 Apr 2021, 7:27 am
Morgan Stanley Broker Jacob “Cobby” Shapira allegedly Shorted Amazon Stock According to Financial Advisor IQ this week, a Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley and financial advisor Jacob Shapira to pay close to $800,000 over alleged over-concentration and churning in short positions. [read post]
30 Apr 2021, 3:58 am
Case In PointFor 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, G... [read post]
29 Apr 2021, 10:35 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Constantinos Maniatis from the securities industry for 30 days. [read post]
29 Apr 2021, 10:02 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Martirosian from the securities industry. [read post]
29 Apr 2021, 8:26 am
Big technology platforms “have the capacity to draw significant profits without being subject to regulatory constraints weighing on banks,” the authority said in a report on Thursday. [read post]
29 Apr 2021, 5:01 am
Also, one’s financial institution, retailer, and employer may well be submitting data to the brokering industry. [read post]
28 Apr 2021, 9:05 pm
Digital Identity Crisis first appeared on The Regulatory Review. [read post]
28 Apr 2021, 2:18 pm
What your company chooses matters to your future, financially and legally. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
28 Apr 2021, 7:37 am
FINRA Reportedly Bars Broker David Martirosian after Allegations of Unsuitable & Excessive Trading According to public records posted by The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred broker David Martirosian (CRD #5261144) of Mineola, NY from the securities industry. [read post]
28 Apr 2021, 6:35 am
FINRA Reportedly Suspends Fred Rock after Allegations of Selling Away According to public records provided by the Financial Industry Regulatory Authority (FINRA), the regulator has suspended broker Frederick Rock (CRD#: 2548242) of Tampa, Florida for five months after allegations of “selling away. [read post]
27 Apr 2021, 9:05 pm
Regulatory sandboxes, such as the one the United Kingdom’s Financial Conduct Authority established for fintech, create a safe space for regulators and innovative services to work through issues. [read post]
27 Apr 2021, 5:15 pm
Thus, ARP authorizes employers of 500 or fewer employees that voluntarily provide COVID Paid Leave for all employees to claim a tax credit against their employment taxes. [read post]
27 Apr 2021, 1:39 pm
These investors recently filed an arbitration claim with the Financial Industry Regulatory Authority, alleging unsuitability, breach of fiduciary duty and failure to supervise. [read post]
