Search for: "Financial Industry Regulatory Authority"
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30 Nov 2020, 8:55 pm
The ECB will continue to develop its supervisory approach to managing and disclosing climate-related and environmental risks over time, taking into account regulatory developments, as well as evolving practices in the industry and in the supervisory community. [read post]
30 Nov 2020, 12:22 pm
According to his BrokerCheck record, the Financial Industry Regulatory Authority (FINRA) reportedly barred Matthes after he failed to provide requested information after allegations in March 2019. [read post]
30 Nov 2020, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Palumbo was employed by Park Avenue through April 2020 when the firm permitted him to resign over these allegations. [read post]
30 Nov 2020, 5:00 am
Broker-dealers and registered investment advisers are principally regulated by the Financial Industry Regulatory Authority (“FINRA”), the Securities and Exchange Commission (“SEC”), and the states. [read post]
30 Nov 2020, 3:00 am
This is all the more so in the globalized telecom equipment industry where all the main players have production facilities in China and sell worldwide. [read post]
29 Nov 2020, 9:03 pm
Banking regulation, however, has not kept up with these technological innovations in the industry. [read post]
27 Nov 2020, 9:05 pm
The post Fixing Student Loans first appeared on The Regulatory Review. [read post]
26 Nov 2020, 9:05 pm
Pfizer Inc. and BioNTech requested an emergency use authorization from the U.S. [read post]
26 Nov 2020, 12:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
25 Nov 2020, 9:57 am
Together, these moves represent an unprecedented assertion of state power in the industry. [read post]
25 Nov 2020, 7:01 am
Wilcox, both First Republic Securities stockbrokers, have been named in a $1M Financial Industry Regulatory Authority (FINRA) arbitration claim against the firm over alleged losses from the Harvest Volatility Management Put Writing Strategy (Harvest PWS). [read post]
24 Nov 2020, 12:05 pm
May 2017 – Financial Industry Regulatory Authority (FINRA), reportedly barred former Summit Brokerage financial advisor Christopher S. [read post]
24 Nov 2020, 5:02 am
FINRA Rules on Unsuitability The Financial Industry Regulatory Authority (FINRA) has defined the standards for investment recommendations made by firms and advisors. [read post]
24 Nov 2020, 5:02 am
FINRA Rules on Unsuitability The Financial Industry Regulatory Authority (FINRA) has defined the standards for investment recommendations made by firms and advisors. [read post]
24 Nov 2020, 2:22 am
New York Stockbroker is Named in Multiple Customer Disputes If you suffered substantial losses from investments recommended to you by Spartan Capital Securities broker Joseph Kelly, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. [read post]
23 Nov 2020, 2:14 pm
Brokers Are Not Supposed To Borrow From Clients According to rules and regulations established by the Financial Industry Regulatory Authority (FINRA), stock brokers are not supposed to borrow money from their clients in most circumstances. [read post]
23 Nov 2020, 9:18 am
FINRA Reportedly Bars Lynn Cawthorne after Alleged Felony Charges According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Lynn Cawthorne on November 16, 2020. [read post]
20 Nov 2020, 3:23 pm
Economic sanctions and export controls are increasingly prominent issues for legal, commercial and financial professionals. [read post]
20 Nov 2020, 1:28 pm
July 2019 The Financial Industry Regulatory Authority (FINRA) censured and fined Aegis Capital Corp. [read post]
20 Nov 2020, 8:42 am
Financial Industry Regulatory Authority (FINRA) barred him in February. [read post]
