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8 Dec 2020, 6:34 am
In the meantime, we expect existing banking regulators will continue to issue rules and guidance to address how digital assets fit within the current financial regulatory framework. [read post]
7 Dec 2020, 8:31 am
Martin “Marty” Evans Reportedly Suspended for Allegations of Impersonating Clients The Financial Industry Regulatory Authority has reportedly suspended and fined a former Ameriprise broker, Martin “Marty” Evans who allegedly impersonated customers trying to obtain their account information, according to an article in Financial Advisor IQ. [read post]
7 Dec 2020, 7:43 am
Coastal Equities Has Been The Subject of $3M in Investor Arbitration Claims Coastal Equities, a mid-sized broker-dealer, recently arrived at a settlement with the Financial Industry Regulatory Authority (FINRA) in which it agreed to give $280K in restitution to several customers. [read post]
4 Dec 2020, 1:55 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
4 Dec 2020, 9:22 am
Is the investment salesperson properly licensed, and his or her firm must be registered with the Financial Industry Regulatory Authority (FINRA), the SEC or a state securities regulator? [read post]
4 Dec 2020, 9:17 am
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
4 Dec 2020, 7:00 am
Now, with Joe Biden as the incoming president, more stable regulatory and financial policies are expected, which will create an environment conducive to deal-making. [read post]
3 Dec 2020, 9:05 pm
Environmental Protection Agency (EPA) issued a final rule determining that a law designed to encourage financial responsibility in specific environmentally hazardous industries does not apply to the electric power generation, transmission, and distribution industries. [read post]
3 Dec 2020, 4:20 pm
This article represents the views of the authors and not the position of the Media@LSE blog, nor of the London School of Economics and Political Science. [read post]
3 Dec 2020, 8:56 am
If the brokerage firm does sue the former financial advisor, such a suit will likely be filed with The Financial Industry Regulatory Authority ( FINRA). [read post]
3 Dec 2020, 8:40 am
It’s worth pointing out that the Notice of Proposed Rulemaking for the $250 threshold was given just a 30-day response period, when normally the industry would be granted 60 or 90 days. [read post]
3 Dec 2020, 3:40 am
Member States would be required to nominate a “competent authority” with the power to monitor compliance with the Act’s requirements, to impose financial penalties, and to “require cessation or postponement” of the provision of the service. [read post]
2 Dec 2020, 9:26 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]
2 Dec 2020, 5:09 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
2 Dec 2020, 5:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Jamison’s customer complaints alleges that Jamison recommended unsuitable investments in various investments including allegations involving energy securities and alternative investments among other allegations of misconduct relating to the handling of their accounts. [read post]
2 Dec 2020, 2:45 am
The Government had argued that Section 1346 should criminalize schemes involving fiduciaries’ undisclosed conflicts of interest, defined as “the taking of official action by [a public official or private] employee that furthers his own undisclosed financial interests while purporting to act in the interests of those to whom he owes a financial duty. [read post]
1 Dec 2020, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
1 Dec 2020, 11:48 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
1 Dec 2020, 11:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Martin Noonan Jr. [read post]
1 Dec 2020, 1:55 am
Most are not well-designed policies, but instead represent narrowly targeted preferences for favored industries. [read post]
