Search for: "Financial Industry Regulatory Authority"
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17 Dec 2020, 9:03 pm
Department of Agriculture issued a long-anticipated final rule that clarifies the scope of producer conduct that is prohibited under the Food, Conservation, and Energy Act, a law that protects fair and competitive markets and financial integrity in the livestock, meat, and poultry industry. [read post]
17 Dec 2020, 4:21 pm
And just when we thought the OAG was done with the regulatory process, his office introduced further regs in October and December (in the latest draft, the OAG has proposed a new “Do Not Sell” logo along with regulations that make it unclear whether or not the logo is required). [read post]
17 Dec 2020, 12:19 pm
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned 3 Cetera Firms over alleged deficiencies in supervising dually-registered representatives (DRRs). [read post]
17 Dec 2020, 11:55 am
FINRA Reportedly Bars Christopher Fernan after Alleged Dismissal from Salomon Whitney According to a Letter of Acceptance Waiver and Consent on October 19, 2020, The Financial Industry Regulatory Authority (FINRA) has reportedly barred former advisor Christopher Fernan (CRD#: 5896584, Plainview, NY) from association with any FINRA member in all capacities after he refused to appear for on-the-record testimony. [read post]
17 Dec 2020, 8:03 am
RBC Capital Markets’ Supervisory Failures result in almost $700,000 in Overcharges According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned RBC Capital Markets (CRD# 31194) for supervisory failures connected to recommendations of 529 Savings Plans. [read post]
17 Dec 2020, 7:53 am
Davidson Advisor Kathleen Bott for Alleged Theft of Funds According to a Letter of Acceptance Waiver and Consent, The Financial Industry Regulatory Authority (FINRA) has reportedly barred fromer advisor Kathleen “Kathy” Bott (CRD#: 2185075) from associating with any member at any time after she reportedly failed to provide documents and information requested by FINRA in connection with its investigation concerning her alleged theft of funds. [read post]
16 Dec 2020, 7:08 am
Ex-LPL Broker Marketed Non-Traded Investments To Mississippi Retiree A retired investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial and its former broker, Tamber King Proctor, seeking up to $100K in damages. [read post]
15 Dec 2020, 12:24 pm
What Are the Legal and Regulatory Considerations? [read post]
15 Dec 2020, 8:09 am
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking down on excessive trading thanks to “greater enforcement flexibility provided by Regulation Best Interest,” according to an article in Financial Advisor IQ last week. [read post]
15 Dec 2020, 8:00 am
More regulation is not necessarily negative—it can create clearer guidelines and landscape for exchanges and virtual currency holders and enable them to better understand the regulatory and tax authorities’ expectations. [read post]
15 Dec 2020, 6:59 am
Senior Investor Seeks up to $500K in Damages For Loss of Savings A retiree from Texas has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Calton & Associates over losses he suffered in GPB Capital Holdings private placements and other non-publicly traded products. [read post]
14 Dec 2020, 8:09 am
Lincoln Investment’s supervisory failures result in imposters alleged theft of 2 customers’ funds According to a Letter of Acceptance Waiver and Consent (AWC) signed December 10, The Financial Industry Regulatory Authority (FINRA) has censured and fined Lincoln Investment after alleged supervisory failures resulted in an attempted theft of customers funds. [read post]
14 Dec 2020, 3:59 am
“In this legal malpractice action, defendants, through their expert’s affidavit, established prima facie entitlement to judgment as a matter of law by demonstrating that plaintiff could not prove that, but for their alleged negligence, he would have been awarded a greater recovery in an underlying FINRA (Financial Industry Regulatory Authority) litigation (see Nomura Asset Capital Corp. [read post]
13 Dec 2020, 9:06 pm
Economic deregulation of railroads was motivated largely by the industry’s financial crisis and congressional unwillingness to commit to perpetual subsidies for freight rail service. [read post]
11 Dec 2020, 11:16 am
FINRA Sanctions Infinity Financial Services for Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 8, The Financial Industry Regulatory Authority (FINRA) has censured and fined Infinity Financial Services (CRD No. 144302) after it allegedly failed to investigate its new hires’ backgrounds. [read post]
11 Dec 2020, 9:36 am
FINRA Suspended New York Broker After Senior Investor Lost More Than $69K Mack Leon Miller, a Spartan Capital Securities broker in New York, was suspended by the Financial Industry Regulatory Authority (FINRA) earlier this year. [read post]
10 Dec 2020, 8:56 am
Is it a banner, heralding a revolution that will transform the financial sector and other industries? [read post]
9 Dec 2020, 2:13 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
9 Dec 2020, 7:59 am
Michael Magill Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Michael Magill from the securities industry beginning December 7, 2020. [read post]
8 Dec 2020, 7:46 am
Robert Halldin Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Robert Halldin from the securities industry. [read post]
