Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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19 Apr 2023, 6:19 am
(“Insight Securities”) in Highland Park, Illinois, agreed to a censure and fine of $25,000 in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
18 Apr 2023, 4:21 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
17 Apr 2023, 7:03 am
(CRD#:15007), MELVILLE, NY, B, 11/21/2017 – 03/28/2018, MAXIM GROUP LLC (CRD#:120708), NEW YORK, NY B, 08/04/2016 – 11/22/2017, STOCKKINGS CAPITAL LLC (CRD#:164445), NEW YORK, NY FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
14 Apr 2023, 11:27 am
The White Law Group reviews the regulatory history of Prospera Financial Services Inc. [read post]
14 Apr 2023, 9:24 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
12 Apr 2023, 3:01 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
11 Apr 2023, 11:53 am
Securities FINRA takes regulatory actions to ensure that member firms and individuals adhere to ethical and legal standards in the securities industry, and to protect investors from fraud and other misconduct. [read post]
11 Apr 2023, 6:24 am
(NASAA) in settling with Robinhood Financial LLC for $10.2 million. [read post]
10 Apr 2023, 11:49 am
Easy way to Check your Broker FINRA BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA) that allows individuals to research and verify the background and professional history of brokers, brokerage firms, and investment advisors. [read post]
10 Apr 2023, 8:26 am
LPL Advisor William Winchester Allegedly Borrowed Money from 3 Customers According to a Letter of Acceptance Waiver and Consent(AWC) on April 6, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, has reportedly barred William Winchester III (CRD #4404327) from the securities industry. [read post]
6 Apr 2023, 9:55 am
OMI Georgia, Inc., 640 F.2d 632, 634 (5th Cir. [read post]
6 Apr 2023, 7:23 am
FINRA BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA) that allows individuals to research and verify the background and professional history of brokers, brokerage firms, and investment advisors. [read post]
5 Apr 2023, 7:14 pm
The Financial Industry Regulatory Authority (FINRA) operates BrokerCheck and it provides valuable information to help investors make informed decisions before working with a financial professional. [read post]
4 Apr 2023, 7:59 am
Activision Blizzard, Inc. filed in the U.S. [read post]
3 Apr 2023, 5:45 am
” Applying this broad concept of “intent to defraud” in false business records cases, New York state courts have found such intent in a wide range of cases including when a defendant: made covert contributions to a political campaign, covered up an alleged rape, misled the relatives of a patient about the individual’s treatment, operated a motor vehicle without a license, obtained credit cards through false documents but with no proof of intention to miss payments, frustrated… [read post]
31 Mar 2023, 8:40 am
That’s according to research released late Tuesday by the payments-technology company ACI Worldwide Inc. [read post]
30 Mar 2023, 8:48 am
FINRA is the Financial Industry Regulatory Authority, which is a self-regulatory organization that oversees the securities industry in the United States. [read post]
30 Mar 2023, 6:52 am
FINRA and the SEC Regulations – Breach of Fiduciary Duty FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) are regulatory bodies that oversee the securities industry in the United States. [read post]
29 Mar 2023, 11:06 am
PRC Race Suit According to EEOC’s complaint in EEOC v PRC Industries, Inc. [read post]
28 Mar 2023, 4:04 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
