Search for: "Financial Industry Regulatory Authority"
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14 Feb 2021, 7:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) High was employed by Crown Capital Securities, L.P. through October 2017. [read post]
12 Feb 2021, 4:55 pm
The Financial Industry Regulatory Authority (FINRA) and the U.S. [read post]
12 Feb 2021, 12:20 pm
Following the termination, Allstate reported its reason for the termination on a Form U5, filed with Financial Industry Regulatory Authority (FINRA) and accessible to any firm that hires licensed broker-dealers like Tilkey. [read post]
12 Feb 2021, 11:24 am
Thankfully, something did.Feng AWCFor 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, Jenny Xinfang Feng submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
12 Feb 2021, 10:37 am
As at the time of instituting the various customer disputes, Jeffrey M Cohen was in the employment of a Financial Industry Regulatory Authority (FINRA) member firm Moloney Securities Co. and he is still a member of the firm as at the time of this investigation. [read post]
12 Feb 2021, 10:37 am
As at the time of instituting the various customer disputes, Jeffrey M Cohen was in the employment of a Financial Industry Regulatory Authority (FINRA) member firm Moloney Securities Co. and he is still a member of the firm as at the time of this investigation. [read post]
12 Feb 2021, 9:27 am
Further complicating things, the scope of these industry-specific regulatory requirements is often in constant flux, as legislatures and licensing authorities can find themselves under political pressure to step up regulation of lead generation or brokering activities in a particular market as a result of public pressure. [read post]
12 Feb 2021, 9:27 am
Further complicating things, the scope of these industry-specific regulatory requirements is often in constant flux, as legislatures and licensing authorities can find themselves under political pressure to step up regulation of lead generation or brokering activities in a particular market as a result of public pressure. [read post]
12 Feb 2021, 3:00 am
How the Jan. 6 Riot Could Make It Tougher to Lobby MSN – Kate Ackley (Roll Call) | Published: 2/8/2021 The coronavirus pandemic has shifted the lobbying industry online. [read post]
12 Feb 2021, 2:12 am
In the UK, the AML supervisor for cryptoasset businesses, the Financial Conduct Authority (FCA), has extended the deadline under which existing cryptoasset firms require registration for AML supervision purposes. [read post]
11 Feb 2021, 1:03 pm
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 organizations on the design, administration and defense of workforce, employee benefit and compensation, safety, discipline, reengineering, regulatory and operational compliance and other… [read post]
11 Feb 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) had a rule on the subject: Rule 2111, which required that a firm or broker have a reasonable basis to believe that a recommended transaction or strategy involving securities was suitable for the customer, based on information obtained through the firm or broker’s reasonable diligence to determine the customer’s investment profile. [read post]
11 Feb 2021, 9:18 am
Further complicating things, the scope of these industry-specific regulatory requirements is often in constant flux, as legislatures and licensing authorities can find themselves under political pressure to step up regulation of lead generation or brokering activities in a particular market as a result of public pressure. [read post]
10 Feb 2021, 4:53 pm
As a result of this increase in popularity, the Financial Industry Regulatory Authority (FINRA) recently published an article warning about the risks of microcap fraud. [read post]
9 Feb 2021, 3:21 am
Unsuitability, Misrepresentations and Omissions Are Among the Other Allegations Ray Gene Reese, a Money Concepts Capital stockbroker and investment advisor based in Farmington, Missouri, is currently named in two pending Financial Industry Regulatory Authority (FINRA) arbitration claims seeking $600K in damages. [read post]
8 Feb 2021, 11:25 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Charles Bonilla from the securities industry for five months, fined him $5,000, and ordered him to disgorge $22,417 in commissions. [read post]
8 Feb 2021, 10:51 am
Uejio indicated that his policy priorities are relief for consumers facing financial hardship due to the pandemic and racial equity. [read post]
8 Feb 2021, 8:55 am
FINRA Reportedly Bars Broker Michael Francoeur after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Michael Francoeur (CRD #5534184) of Somersworth NH, from the securities industry after he reportedly failed to provide information in FINRA’s investigation into allegations of private securities transactions, also known as “selling away. [read post]
8 Feb 2021, 5:43 am
Chopra and Uejio and how the two men are likely to approach the use of the CFPB’s regulatory, enforcement, and supervisory authorities. [read post]
8 Feb 2021, 1:17 am
Claimants Had Alleged Negligence, Poor Supervision, and Other Charges A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded one customer and his trust $515K in their GPB private placement fraud claim against Arete Wealth Management. [read post]
