Search for: "Financial Industry Regulatory Authority"
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14 Feb 2024, 5:43 am
The NPRM attempts to address gaps in the existing AML/CFT regulatory framework in this sector. [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
12 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
11 Feb 2024, 8:55 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kieth Baron (Baron) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
11 Feb 2024, 8:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Benitez’s customer complaints alleges that Benitez recommended unsuitable investments in various investments and makes allegations including common law fraud, gross negligence. [read post]
9 Feb 2024, 6:33 am
On 8 February 2024, the Financial Conduct Authority (FCA) published an update on its progress in tackling financial crime, which identifies four areas of focus for the coming year. [read post]
9 Feb 2024, 6:00 am
The change is not monumental as CUSIP has a long history of managing numbering programs for the financial services industry. [read post]
8 Feb 2024, 1:02 pm
The Financial Industry Regulatory Authority (FINRA) recently issued a disciplinary order against Christopher Booth Kennedy, a former registered representative with Western International Securities, for a series of egregious violations. [read post]
8 Feb 2024, 9:04 am
Lastly, certain deals concerning critical medicines and the financial sector will also require screening. [read post]
8 Feb 2024, 7:47 am
Department of Labor is determined to fight child labor violations in all sectors, including the fast-food industry. [read post]
7 Feb 2024, 9:01 pm
Regulatory Amendments. [read post]
7 Feb 2024, 8:47 pm
Barred by the Financial Industry Regulatory Authority (FINRA) in early 2023 after refusing to provide information and documents in an ongoing investigation, Souma most recently was an Insigneo Securities broker in Beverly Hills, CA. [read post]
7 Feb 2024, 8:37 pm
Temporarily suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly unsuitably recommending speculative alternative investments, including limited partnerships, to two older investors, Diamond is a previously registered broker and investment adviser. [read post]
7 Feb 2024, 11:32 am
Brokers not adhering to instructions is a breach of industry regulations. [read post]
7 Feb 2024, 5:34 am
Morgan voluntarily reported numerous disputes to the Financial Industry Regulatory Authority (FINRA), as required by FINRA Rule 4530. [read post]
6 Feb 2024, 3:58 pm
A newly announced religious discrimination settlement reminds employers of the advisability of reviewing and strengthening the defensibility of their grooming, dress code, scheduling and time off and other employment policies, practices and other procedures for applying, granting or denying religious exceptions, and other employment practices to defend against potential discrimination exposures in light of rising religious sensitivities, the Supreme Court’s 2023 ruling in Groff v. [read post]
6 Feb 2024, 11:25 am
On December 27, 2023, the Financial Industry Regulatory Authority ordered LPL Financial to pay $6.15 million in fees and restitution for several violations related to direct business and switch transactions made on behalf of their customers. [read post]
6 Feb 2024, 8:43 am
Scott Silver also represents investors in arbitration before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), and NFA (National Futures Association). [read post]
6 Feb 2024, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bindra’s customer complaint alleges that Bindra recommended unsuitable investments in structured products and makes allegations concerning the misrepresentation of the product among other allegations of misconduct relating to the handling of their accounts. [read post]
5 Feb 2024, 10:00 pm
Bank M&A Transactions Checklist Utilize this checklist outlining key regulatory due diligence considerations specific to M&A transactions in the banking industry. [read post]
