Search for: "Financial Industry Regulatory Authority"
Results 2561 - 2580
of 11,225
Sort by Relevance
|
Sort by Date
2 Apr 2021, 8:10 am
A cybersecurity attorney must understand the delineation of each government agency’s authorities. [read post]
2 Apr 2021, 7:10 am
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Gregory Mancuso from the securities industry for providing false testimony during an on-the-record interview connected with an investigation into Mr. [read post]
1 Apr 2021, 8:44 am
What’s particularly noticeable now is the apparent convergence of merchant fervor with newfound regulatory zeal. [read post]
1 Apr 2021, 7:57 am
Financial Advisor Standards The Financial Industry Regulatory Authority (FINRA) promulgates several rules governing the duties, responsibilities, and behavior of advisors and brokers. [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
1 Apr 2021, 7:32 am
According to the article, these offenders were gathered from news articles, from the Financial Industry Regulatory Authority and the SEC. [read post]
31 Mar 2021, 12:58 pm
Robert Luley Jr. is currently registered with two Financial Industry Regulatory Authority (FINRA) member firms. [read post]
31 Mar 2021, 12:58 pm
Robert Luley Jr. is currently registered with two Financial Industry Regulatory Authority (FINRA) member firms. [read post]
31 Mar 2021, 9:30 am
In a recent FINRA regulatory settlement we have all the classic elements of such puzzle.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, Col... [read post]
31 Mar 2021, 9:16 am
The Financial Industry Regulatory Authority (FINRA), a securities regulator, announced that it has censured and fined Cambridge Investment Research (“Cambridge”) $400,000 and Securities America $100,000 for failing to supervise their representatives’ recommendations of an alternative mutual fund that resulted in hundreds of thousands in losses for customers. [read post]
30 Mar 2021, 12:18 pm
The Financial Industry Regulatory Authority (“FINRA”) has Securities America, Inc. [read post]
30 Mar 2021, 11:48 am
The Financial Industry Regulatory Authority (“FINRA”) has J.W. [read post]
30 Mar 2021, 11:02 am
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Cambridge Investment Research, Inc. [read post]
30 Mar 2021, 6:51 am
Table of Contents Executive Summary Introduction Overview of Current Proposals — Governor Justice’s Proposal — House Republican Proposal — Senate Republican Proposal Income Tax Reductions — Economic Overview — Impact on Pass-Through Businesses — Impact on Migration and Remote Work — The Role of Reciprocal Agreements Sales Tax Changes — The Sales Tax Consensus — Rate Increase — Taxation of Professional Services Luxury Tax Excise and… [read post]
29 Mar 2021, 2:17 pm
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]
29 Mar 2021, 12:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Charles Thomas Stevens from the securities industry for failing to appear and provide on-the-record testimony. [read post]
29 Mar 2021, 12:04 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Victor A. [read post]
29 Mar 2021, 9:55 am
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Jeremy Taylor Johnson from the securities industry. [read post]
29 Mar 2021, 8:24 am
Other Aspects of your role: In addition to the above you will be expected to: Write widely and knowledgeably on at least one harm-reduction area in depth, as well as broadly about others Present before a variety of audiences; attend and speak at convenings in the United States and globally where appropriate Oversee and coordinate the work of R Street staff and contractors working on harm reduction topics Produce formal regulatory comments and policy… [read post]
