Search for: "Financial Industry Regulatory Authority"
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5 Feb 2024, 6:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wenjinn Chang (Chang), currently associated with Independent Financial Group, LLC (IFG), has been subject to at least two customer complaints during his career. [read post]
5 Feb 2024, 6:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Ginn’s customer complaint alleges that Gin engaged in excessive trading or churning of investor accounts among other allegations of misconduct relating to the handling of their accounts. [read post]
4 Feb 2024, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), advisor Barbara Shaffer (Shaffer), currently employed at Cambridge Investment Research, Inc. [read post]
4 Feb 2024, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Sandberg (Sanberg), currently associated with Ameriprise Financial Services, LLC (Ameriprise), has been subject to ten customer complaints and one regulatory action during his career. [read post]
2 Feb 2024, 6:00 am
The proposed legislation would amend the state’s banking law to give the department licensing and regulatory authority over BNPL providers and loans. [read post]
1 Feb 2024, 6:59 pm
Our Northstar Bermuda Loss Attorneys Represent Foreign Nationals in The US and Abroad Against Broker-Dealers In our latest Northstar Financial Services (Bermuda) loss lawsuit against Cetera Investment Services, Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing two Chinese citizens, one living in the US and one abroad, in their more than $5M annuity loss claim that was brought in Financial Industry Regulatory… [read post]
1 Feb 2024, 6:19 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
1 Feb 2024, 1:25 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
31 Jan 2024, 12:50 pm
FINRA BrokerCheck is a tool provided by the Financial Industry Regulatory Authority (FINRA) that allows investors to research and check the background of brokers, brokerage firms, and investment advisors. [read post]
31 Jan 2024, 11:31 am
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
31 Jan 2024, 10:15 am
As regulatory pieces begin to fit into place, the EU is positioning itself at the spearhead of the digital economy. [read post]
30 Jan 2024, 11:17 am
As it turns out, however, the financial incentives have simply been too tempting. [read post]
30 Jan 2024, 10:30 am
In the absence of rulemaking by the Securities Exchange Commission (SEC), what makes a security is still an open question in the financial industry. [read post]
30 Jan 2024, 9:50 am
I would like to thank the authors for allowing me to publish their article as a guest post on this site. [read post]
29 Jan 2024, 12:00 pm
A broker-dealer’s Central Registration Depository (CRD) record is a database maintained by the Financial Industry Regulatory Authority (FINRA) and is used to store and track information about individuals and firms involved in the securities industry. [read post]
28 Jan 2024, 4:17 pm
Consider any legal and regulatory issues: Succession planning may implicate tax, employment, and industry-specific laws and regulations. [read post]
27 Jan 2024, 9:04 pm
There are multiple federal financial regulatory agencies involved, in addition to the Federal Trade Commission, the Department of Justice, the Consumer Financial Protection Board, and state authorities. [read post]
26 Jan 2024, 1:40 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
26 Jan 2024, 3:44 am
Background This consultation is the culmination of PRA interest in exit plan requirements for insurers flagged throughout its 2023 market correspondence and highlighted as a regulatory priority for insurance supervision in the PRA’s 2024 Dear CEO Letter. [read post]
26 Jan 2024, 1:54 am
The paper is intended to establish the groundwork for future discussions between industry stakeholders and regulatory authorities towards a quantum secure financial sector. [read post]
