Search for: "Financial Industry Regulatory Authority"
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11 Jan 2021, 9:17 am
Triad Advisors and its Ex-Florida-Based Broker Placed Claimants Funds In Too Risky GPB Capital & REIT Investments Two Utah retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Triad Advisors, Inc. over losses they suffered from investing in GPB private placements and privately traded real estate investment trusts (REITs), including American Realty Capital Trust. [read post]
11 Jan 2021, 8:52 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
11 Jan 2021, 2:55 am
What is clear, however, is that the CfE represents the commencement, and not the culmination, of a trend in UK financial services policy that is likely to see increasing focus placed on cryptoassets and their relationship with regulation, which will no doubt bring changes that the industry will need to adapt to. [read post]
8 Jan 2021, 4:17 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Angel Wynette Bardeche (CRD# 4698117) from the securities industry for nine months and fined her $10,000. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
7 Jan 2021, 7:43 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended Antonio Almeida from associating with any FINRA member in any capacity for three months. [read post]
6 Jan 2021, 8:26 am
According to a Letter of Acceptance, Waiver and Consent (AWC) signed on December 31, 2020, the Financial Industry Regulatory Authority (FINRA) has censured and fined LPL Financial (CRD#: 6413) $6 million for several supervisory and compliance failures. [read post]
6 Jan 2021, 5:01 am
The China Securities Regulatory Commission also appears to be concerned that Ant holds too much sway over the domestic financial technology industry, in which the company has invested more than $17 billion. [read post]
5 Jan 2021, 9:03 pm
In its report, DFS advocates creating a new federal regulatory authority to monitor social media companies and prevent future cyberattacks. [read post]
5 Jan 2021, 12:16 pm
FINRA Settlement Includes Restitution to More than 2,400 Customers In an agreement reached with the Financial Industry Regulatory Authority (FINRA), Transamerica Financial Advisors consented to pay $8.8M over the unsuitable sales of mutual funds, variable annuities (VAs) and 529 savings plans to customers. [read post]
5 Jan 2021, 8:41 am
Previously registered broker Brian Radoo has been barred by the Financial Industry Regulatory Authority (FINRA) for allegedly refusing to provide documents and information requested by FINRA following an investigation into whether Radoo engaged in an undisclosed outside business activity, according to an investigation by investor rights attorney, Alan Rosca. [read post]
5 Jan 2021, 8:41 am
Previously registered broker Brian Radoo has been barred by the Financial Industry Regulatory Authority (FINRA) for allegedly refusing to provide documents and information requested by FINRA following an investigation into whether Radoo engaged in an undisclosed outside business activity, according to an investigation by investor rights attorney, Alan Rosca. [read post]
4 Jan 2021, 2:02 pm
Billings for fraudulent COVID related testing or other services present a significant financial risk for employer and other private as well as government programs, as illustrated by indictments against owners of over a dozen New York-area pharmacies announced by the U.S. [read post]
4 Jan 2021, 1:26 pm
The 2020 federal court securities lawsuit filings hit companies in a wide variety of industries. [read post]
4 Jan 2021, 8:04 am
According to a Letter of Acceptance, Waiver and Consent (AWC) signed on December 31, 2020, the Financial Industry Regulatory Authority (FINRA) has sanctioned Worden Capital Management (CRD#: 148366) for supervisory failures connected to charges of excessive trading in customers’ accounts. [read post]
4 Jan 2021, 7:30 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
31 Dec 2020, 9:03 pm
Environmental Protection Agency (EPA) Administrator Andrew Wheeler defended the move by stating that the “final rule puts in place a sensible one national program that strikes the right regulatory balance that protects our environment, and sets reasonable targets for the auto industry. [read post]
31 Dec 2020, 3:00 pm
FINRA Provides a Wealth of Resources for Individual Investors with Concerns about Fraud The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for defrauded investors to recover their losses. [read post]
