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27 Mar 2023, 9:01 pm
Filings By Industry Sector As shown in Figure 2 below, the distribution of non-merger objection and non-crypto unregistered securities filings in 2022 was largely consistent with 2021. [read post]
27 Mar 2023, 8:09 pm
September 2019 – The Financial Industry Regulatory Authority Inc. reportedly censured Newbridge Securities and fined the firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
23 Mar 2023, 9:04 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
13 Mar 2023, 11:19 am
FINRA Reportedly Bars Kevin Hobbs of PFS Investments from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred former PFS Investments broker Kevin Andrew Hobbs (CRD#: 4267482) from associating with any FINRA member at any time. [read post]
10 Mar 2023, 10:00 am
She also has decades of regulatory and other government affairs experience with these concerns including defending these and other businesses before the IRS, EBSA, WHD, EEOC, OCR, HHS, state labor, insurance, and other authorities, and evaluating and responding to federal, state and local statutory, regulatory and enforcement actions by federal and state legislators and regulators. [read post]
10 Mar 2023, 8:17 am
Mastercard Infringes Digital Wallet Tech Patent, Suit SaysBloomberg Law – March 2, 2023 Mastercard Inc. [read post]
7 Mar 2023, 9:01 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
5 Mar 2023, 3:50 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Mar 2023, 4:04 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Mar 2023, 2:51 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Mar 2023, 10:17 am
About the Author Recognized by her peers as a Martindale-Hubble &ldq [read post]
28 Feb 2023, 7:11 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
24 Feb 2023, 8:22 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
24 Feb 2023, 12:58 pm
The standards for organizational sentencing offer organizations the opportunity to mitigate their liability exposure if it can persuade the prosecuting U.S. attorneys office (“USAO”) it had in place and followed an effective compliance program, promptly reported the violation to the authorities, and that high level were not involved in the actual offense conduct. [read post]
23 Feb 2023, 9:01 pm
Analyzing patterns in market data, combined with traditional law enforcement techniques, our team of agents and prosecutors, in parallel to our regulatory partners, caught and disrupted these complex schemes. [read post]
22 Feb 2023, 5:02 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
21 Feb 2023, 7:04 am
Like all investment firms, Citigroup is required to resolve investor claims through arbitration with the Financial Industry Regulatory Authority (FINRA). [read post]
19 Feb 2023, 9:01 pm
First, the defendants argued that the major questions doctrine precluded the SEC from using the term “investment contract,” the scope of which has traditionally been more limited, to expand its regulatory authority to a substantial and new industry. [read post]
19 Feb 2023, 12:02 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
