Search for: "Financial Industry Regulatory Authority"
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19 Apr 2021, 11:07 am
Paul Koch, former UBS Financial advisor, Reportedly Sued for Unsuitable Investments According to Financial Advisor IQ today, the Financial Industry Regulatory Authority is reviewing former UBS Financial advisor, Paul Koch (CRD#: 1777599) of Wayzata, MN, in connection with allegations that he recommended unsuitable outside investments to a former professional football player. [read post]
19 Apr 2021, 9:22 am
REGULATORY CONSIDERATIONS[4] A. [read post]
19 Apr 2021, 7:35 am
The rulemaking process requires that proposed regulations are issued first for industry and public comment before finalizing the regulations. [read post]
19 Apr 2021, 2:38 am
The agenda for the meeting included discussion on proportionality in DORA as well as scope and timeline of specific regulatory technical standards (RTS) and entry into force and application of DORA. [read post]
16 Apr 2021, 6:07 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former Joseph Stone Capital, LLC broker Abdul Rahmani. [read post]
16 Apr 2021, 8:43 am
The firm acknowledged an inquiry in a regulatory filing last month without elaborating on the specific issues at hand. [read post]
15 Apr 2021, 8:32 am
National Securities Corporation is a Financial Industry Regulatory Authority (FINRA) member firm, and Michael Kokoskie was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
15 Apr 2021, 8:32 am
National Securities Corporation is a Financial Industry Regulatory Authority (FINRA) member firm, and Michael Kokoskie was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
14 Apr 2021, 2:14 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Dellaporta, Jr. from the securities industry. [read post]
14 Apr 2021, 1:04 pm
FINRA Reportedly Bars Advisor Michael Dellaporta Jr. after Allegations of Outside Business Activity On April 14, 2021, the Financial Industry Regulatory Authority reportedly barred financial advisor Michael Dellaporta Jr. from the securities industry in connection with Dellaporta’s involvement in an outside business activity. [read post]
14 Apr 2021, 12:56 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Hugues Guirand. [read post]
14 Apr 2021, 11:48 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Steven Schisler. [read post]
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
14 Apr 2021, 8:43 am
Claimant Alleges Overconcentration, Unsuitability, Failure to Supervise A Portland, Oregon semi-retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. and is seeking up to $500K in damages. [read post]
14 Apr 2021, 8:00 am
But, okay, let's just stand back for a moment and offer a round of applause to encourage FINRA to do more of the same as demonstrated in a recent settlement involving loans from customers and outside business activities.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 findi... [read post]
13 Apr 2021, 9:06 pm
first appeared on The Regulatory Review. [read post]
13 Apr 2021, 2:42 pm
” The Forbes article cites unnamed sources as saying that the SEC may have “intentionally created confusion in the industry to temporarily slow the soaring SPAC market so the agency can catch up on regulatory audits and governance. [read post]
13 Apr 2021, 6:26 am
Most notably, Ezri has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) for unauthorized trading activity. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
12 Apr 2021, 9:23 am
Event Announcements (More details on the Events Calendar) Monday, April 12, 2021, at 1:30 p.m.: The Atlantic Council will host an online event on the future of U.S. security in space and will publicly launch a new report titled “The Future of Security in Space: A Thirty-Year US Strategy. [read post]
