Search for: "Financial Industry Regulatory Authority"
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15 Jan 2021, 8:08 am
Consider a recent FINRA regulatory settlement for what prompted my latest round of intellectual endeavors.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 ... [read post]
14 Jan 2021, 9:05 pm
” The Office of the Comptroller of the Currency finalized its “fair access” rule, which prohibits national banks from refusing to conduct business with entities in controversial industries such as fossil fuels and gun manufacturing for reasons other than financial risk. [read post]
14 Jan 2021, 2:32 pm
The latest company to be caught in the crossfire of regulatory authorities fighting to understand and regulate new technologies is Ripple. [read post]
14 Jan 2021, 12:09 pm
Interactive Brokers LLC (money laundering, failure to file SARs) – Brokerage firm Interactive Brokers agreed to pay $23.7 million to the SEC and CFTC, as well as a $15 million penalty to the Financial Industry Regulatory Authority (FINRA), to resolve allegations related to the firm’s anti-money laundering policies. [read post]
14 Jan 2021, 9:14 am
In a statement, Acting Comptroller Brian Brooks cautioned that granting chartering authority to the CFPB could blur the division of regulatory labor set up in the wake of the 2008 financial crisis, pushing back on a key recommendation from a CFPB task force report released earlier this week. [read post]
14 Jan 2021, 8:59 am
This was an attempt to provide for distributional equity among nations —recognizing that the industrialized countries were responsible for the lion’s share of accumulated greenhouse gases in the atmosphere, and by virtue of their wealth were more capable of taking action. [read post]
14 Jan 2021, 8:43 am
Former Aegis Advisor Steven Luftschein (Steven Lerner) Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Aegis Capital Corp. advisor Steven Robert Luftschein (also known as Steven Lerner), after allegations that he churned and excessively traded the accounts of three of his customers. [read post]
14 Jan 2021, 7:15 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ryan Ashley Raskin from the securities industry. [read post]
13 Jan 2021, 1:06 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Arthur Obermeier from the securities industry for 60 days and fined him $5,000. [read post]
13 Jan 2021, 9:25 am
The Financial Industry Regulatory Authority’s findings stated that Michael Tavel purportedly participated in private securities transactions away from his member firm without providing a written disclosure to the firm and he allegedly falsely attested to the firm that he had not solicited any unapproved private placements. [read post]
13 Jan 2021, 9:05 am
We are comprised of former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors, and are experienced at managing every stage of complex regulatory investigations. [read post]
13 Jan 2021, 7:01 am
Barber Barred from the securities industry. [read post]
12 Jan 2021, 1:42 pm
In September of 2018, Financial Industry Regulatory Authority (FINRA) released information about a dispute between Mr. [read post]
12 Jan 2021, 10:49 am
Financial Industry Regulatory Authority has fined and suspended a former Ameriprise Financial broker in Cincinnati, Ohio, who allegedly generated $450,000 in commissions from unsuitable mutual fund switches over two years, according to FINRA and Advisor Hub. [read post]
12 Jan 2021, 10:11 am
This expansion will allow department representatives to work proactively with entrepreneurs and create a regulatory framework for responsible, emerging financial products. [read post]
12 Jan 2021, 8:09 am
Lax Oversight Purportedly Allowed An LPL Broker to Continue Defrauding Customers in Ponzi Scam The Financial Industry Regulatory Authority (FINRA) has fined LPL Financial Holdings (LPLA) $6.5M due to purported supervisory inadequacies related to recordkeeping, fingerprinting employees that were non-registered representatives, and its financial advisers’ consolidated reports. [read post]
12 Jan 2021, 7:18 am
According to a Letter of Acceptance, Waiver and Consent (AWC) signed on January 7, 2021, the Financial Industry Regulatory Authority (FINRA) has censured and fined VALIC Financial Advisors (CRD#: 42803) $350,000 for supervisory failures in connection with inappropriate VA exchanges. [read post]
11 Jan 2021, 11:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Frederick Griner from the securities industry for 15-business days and fined him $15,000. [read post]
11 Jan 2021, 11:19 am
FINRA Fines and Suspends Angel Bardeche after Allegations of Unsuitable Mutual Fund Switches According to a Letter of Acceptance, Waiver and Consent (AWC) on January 6, The Financial Industry Regulatory Authority has fined and suspended former Ameriprise Financial advisor Angel Bardeche, who allegedly generated $450,000 in commissions from unsuitable mutual fund switches. [read post]
11 Jan 2021, 10:21 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 organizations on the design, administration and defense of workforce, employee benefit and compensation, safety, discipline, reengineering, regulatory and operational compliance and other… [read post]
