Search for: "Financial Industry Regulatory Authority"
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18 Feb 2021, 9:15 am
News – February 16, 2021 Mastercard (MA) is being investigated by Swiss authorities for the possible obstruction of Switzerland’s National Cash Scheme. [read post]
18 Feb 2021, 5:14 am
Not by a long shot.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, Michael Nagy submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
17 Feb 2021, 9:06 pm
Department of Education granted institutions of higher education special exemptions authorizing remote instruction without loss of accreditation. [read post]
17 Feb 2021, 2:01 pm
Steven Luftschein (Steven Robert Luftschein CRD# 2690117) was recently barred from acting as a broker by the Financial Industry Regulatory Authority (FINRA) following an investigation into allegations that Luftschein violated federal securities laws. [read post]
17 Feb 2021, 12:58 pm
Michael Anthony Tavel (CRD# 4862463) was recently suspended from acting as a broker by the Financial Industry Regulatory Authority. [read post]
17 Feb 2021, 11:58 am
The Financial Industry Regulatory Authority (FINRA) reportedly issued a regulatory notice 20-42 in December seeking public comment on whether it should change to its rules, operations or administrative processes to reflect lessons learned during the pandemic. [read post]
17 Feb 2021, 10:34 am
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. [read post]
17 Feb 2021, 10:26 am
To help clients navigate this new regulatory authority, Ballard Spahr’s nationally recognized Consumer Financial Services Group has created a California “Mini-CFPB” team. [read post]
17 Feb 2021, 9:22 am
In January 2021, VALIC Financial Advisors, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) for misconduct related to improper recommendations of variable annuities, in violation of FINRA Rules. [read post]
17 Feb 2021, 8:52 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Paul John Halvorson from the securities industry. [read post]
17 Feb 2021, 5:45 am
Table of Contents Key Findings Introduction Basics of Cross-border Taxation The U.S. [read post]
16 Feb 2021, 1:30 pm
Joseph Gerard Michaletz is currently registered with DAI Securities, LLC, a Financial Industry Regulatory Authority (FINRA) member firm, since April 2018. [read post]
16 Feb 2021, 1:30 pm
Joseph Gerard Michaletz is currently registered with DAI Securities, LLC, a Financial Industry Regulatory Authority (FINRA) member firm, since April 2018. [read post]
16 Feb 2021, 11:05 am
Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges. [read post]
16 Feb 2021, 8:16 am
Produce formal regulatory comments and policy writing (long- and short-form) on regulatory and legislative efforts involving harm reduction. [read post]
15 Feb 2021, 2:03 pm
FINRA, the Financial Industry Regulatory Authority, is the U.S. broker-dealer industry’s most prominent self-regulatory organization, authorized by Congress to protect investors by ensuring that the broker-dealer industry operates fairly and honestly. [read post]
15 Feb 2021, 12:49 pm
FINRA Reportedly Bars Christopher Bryan Black after Allegations of Misappropriation of Funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Christopher Bryan Black (CRD #5049080) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of his termination from his member firm. [read post]
15 Feb 2021, 11:03 am
Our New York securities fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this senior investor in her Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm. [read post]
15 Feb 2021, 7:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Wudemann’s customer complaints alleges that Wudemann recommended unsuitable investments in various investments and misrepresented investment products including mutual fund securities and structured notes among other allegations of misconduct relating to the handling of their accounts. [read post]
15 Feb 2021, 7:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Duggan’s customer complaints alleges that Duggan recommended unsuitable investments in various investments and makes allegations including common law fraud, gross negligence, breach of contract, and elder abuse among other allegations of misconduct relating to the handling of their accounts. [read post]
