Search for: "Financial Industry Regulatory Authority"
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5 Mar 2021, 11:37 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Richard Scott Shelley from the securities industry for one month and ordered him to pay a $5,000 fine. [read post]
4 Mar 2021, 12:24 pm
Broker Investigation: Mike Patatian, Western International Securities The Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Mergurditch Patatian of Westlake Village, CA, claiming he recommended unsuitable investments to clients, in some cases inflating client assets to make them eligible and in one case allegedly impersonating a client, according to FA-mag.com on March 3. [read post]
4 Mar 2021, 12:24 pm
Broker Investigation: Mike Patatian, Western International Securities The Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Mergurditch Patatian of Westlake Village, CA, claiming he recommended unsuitable investments to clients, in some cases inflating client assets to make them eligible and in one case allegedly impersonating a client, according to FA-mag.com on March 3. [read post]
4 Mar 2021, 11:47 am
Patrick Horsman’s Previous Run-Ins with Securities Regulators In 2017, Horsman consented to being sanctioned by the Financial Industry Regulatory Authority (FINRA) following an enforcement action. [read post]
4 Mar 2021, 9:59 am
Latin American Investor Alleges Elder Financial Fraud And Abuse In a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services, Inc. [read post]
4 Mar 2021, 9:30 am
Industry Developments SPOTLIGHT: Int [read post]
4 Mar 2021, 5:01 am
The authorities include the ability not only to provide economic incentives but also to procure and install equipment in private industrial facilities to achieve the necessary production goals. [read post]
3 Mar 2021, 5:32 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
3 Mar 2021, 8:41 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Rhett Douglas Bedwell from the securities industry. [read post]
2 Mar 2021, 5:42 pm
In response to the 2007-2009 financial crisis, Congress—primarily through the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act; P.L. 111-203)—and bank regulators,using new and existing authorities, increased bank regulation. [read post]
2 Mar 2021, 1:59 pm
” Following Raskin’s Termination From Merrill Lynch, FINRA Investigates According to the Financial Industry Regulatory Authority (FINRA), after Merrill Lynch reported Raskin’s discharge, FINRA started an investigation that included sending requests for production of information and documents to Raskin. [read post]
2 Mar 2021, 12:23 pm
FINRA Reportedly Bars Broker Rhett Bedwell after Allegations of Unauthorized investment in a Ponzi-scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Rhett Bedwell (CRD #5664392) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of a customer complaint alleging an unauthorized investment in a… [read post]
2 Mar 2021, 8:54 am
For example, I have proposed a stand-alone requirement that platforms act consistently with their own content rules, enforced by a dispute resolution mechanism modeled on the arbitration system maintained by the Financial Industry Regulatory Authority for broker-dealers. [read post]
2 Mar 2021, 7:57 am
Stamer also has worked internationally and domestically as an advisor to business, community and government leaders on these and other legislative, regulatory and other legislative and regulatory design, drafting, interpretation and enforcement, as well as regularly advises and represents organiza [read post]
1 Mar 2021, 7:13 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Megurditch Patatian (aka Mike Patatian) alleging that, while associated with Western International Securities, Inc., Mr. [read post]
1 Mar 2021, 8:45 am
In the Fall 2020 edition, authors examined critical global policy issues including: Reform proposals for the World Health Organization Modern Great Power dynamics The Biden Presidency and Ukraine COVID-19 financial relief programs in the U.K. [read post]
26 Feb 2021, 1:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Scott Richard Hansen for three months from the securities industry over allegations that Mr. [read post]
26 Feb 2021, 9:25 am
Parsons, who played for the Atlanta Hawks before a car accident in January 2020, reportedly filed the claim in arbitration with the Financial Industry Regulatory Authority (FINRA) in January 2021, according to the regulator. [read post]
26 Feb 2021, 7:07 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Sean Daniel McDevitt from the securities industry over allegations that Mr. [read post]
26 Feb 2021, 6:39 am
This requires not only a certain level of authority and independence, but also deep financial crime subject matter expertise combined with a working knowledge of regulatory expectations, investigative rigour and internal stakeholder management. [read post]
