Search for: "Financial Industry Regulatory Authority"
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20 Nov 2020, 8:34 am
” The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisor’s activities. [read post]
19 Nov 2020, 9:05 pm
Clayton’s departure gives President Trump a short window to appoint a replacement, or else President-Elect Joe Biden will have the opportunity to fill the key financial regulatory position. [read post]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
19 Nov 2020, 9:57 am
By Amanda Maine, J.D.The Financial Industry Regulatory Authority (FINRA) and the Securities Industry and Financial Markets Association (SIFMA) submitted comment letters to the SEC expressing their concern about the Commission’s proposed exemption from broker-dealer registration requirements for so-called "finders. [read post]
18 Nov 2020, 9:03 pm
Although the CFTC report outlines a wide range of policies designed to combat climate change and secure U.S. financial markets, its authors present one key recommendation: Congress should adopt an economy-wide price on carbon to encourage industry members to reduce harmful gas emissions. [read post]
18 Nov 2020, 8:36 am
The food system’s patchwork regulatory regime is at least parti [read post]
17 Nov 2020, 11:56 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred him from the securities industry as of March 9, 2020 after he failed to request termination of his suspension in connection with allegations of insurance fraud. [read post]
17 Nov 2020, 6:16 am
FINRA to Tighten Regulations for Private Placement Marketing Communication According to the Financial Industry Regulatory Authority this week, the regulator has filed a proposed rule change with the Securities and Exchange Commission to require broker-dealers to file retail communications relating to private placement offerings. [read post]
16 Nov 2020, 3:36 pm
It further identifies legal authorities available to U.S. financial regulators that provide a basis for issuing specific macroprudential regulations that could address the risks from, and role played by, large financial institutions’ financing of the industries and activities that drive climate change. [read post]
16 Nov 2020, 11:31 am
Alex Gierbolini’s Complaints Allege Misrepresentation and Unsuitable Investments in Puerto Rico Closed-End Funds According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch advisor Alex Gierbolini, has 24 customer complaints filed against him during his career in the securities industry. [read post]
16 Nov 2020, 11:09 am
.: The Senate Homeland Security and Governmental Affairs Subcommittee on Regulatory Affairs and Federal Management will hold a hearing on modernizing federal telework. [read post]
13 Nov 2020, 8:21 am
Investor Contends Insigneo Securities Broker Unsuitably Handled Account A former customer of Felipe Henao Vargas, an Insigneo Securities stockbroker, is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm for $1.3M in damages related to the iPath Series B S & P 500 Short Term Futures ETN (VXX). [read post]
13 Nov 2020, 8:14 am
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 of any issue, David Patrick Beston submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
13 Nov 2020, 1:05 am
I fear that in the current financial climate many property owners simply would not survive the consequences of underinsurance. [read post]
12 Nov 2020, 12:18 pm
FINRA Reportedly Bars Jeffrey Broten after Allegations of Unsuitable Investments & Unauthorized Trades According to the Financial Industry Regulatory Authority (FINRA) on October 14, 2020, the regulator has reportedly barred former financial advisor Jeffrey Broton from associating with any FINRA member at any time. [read post]
12 Nov 2020, 9:43 am
In short, the regulatory environment in China allows for intrusive technical surveillance of internet traffic and data at rest. [read post]
11 Nov 2020, 6:24 am
The enhanced platform will be especially adept at satisfying requirements from financial services regulators in the United States and overseas, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the U.K. [read post]
11 Nov 2020, 1:28 am
Contact us[contact-form-7] Broker Gary Ginsberg Has Been Employed with FINRA Since 1983 and Subject to a Regulatory Action Gary David Ginsberg joined the securities industry in 1983. [read post]
11 Nov 2020, 1:28 am
Contact us[contact-form-7] Broker Gary Ginsberg Has Been Employed with FINRA Since 1983 and Subject to a Regulatory Action Gary David Ginsberg joined the securities industry in 1983. [read post]
10 Nov 2020, 8:55 pm
This vision is based not on a race to the bottom, but for a financial services industry that is open, innovative and leads the world in the use of green finance. [read post]
