Search for: "Financial Industry Regulatory Authority"
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10 Nov 2020, 10:52 am
Equity Sales Company Financial in Collegeville, PA FINRA Reportedly Bars Rich Wesselt in Connection with Alleged Unsuitable Annuities Sales According to The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Richard Wesselt (Rich Wesselt) from associating with any FINRA member at any time. [read post]
10 Nov 2020, 7:19 am
Such a large-scale reform may be difficult to sell when many current economic problems have arisen because of the COVID-19 pandemic rather than from specific financial system defects, although authors like Seligman contend that such systemic financial defects still exist and must be addressed.SEC personnel. [read post]
9 Nov 2020, 1:39 pm
Ex-Concorde Investment Services Broker Allegedly Made Negligent Recommendations Robert Scott Smith, the President of Peregrine Private Capital in Newberg, Oregon, and a former Concorde Investment Services, is named in multiple Financial Industry Regulatory Authority (FINRA) arbitration claims by former customers that invested in GPB private placement funds at his recommendation. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
7 Nov 2020, 3:38 am
See what you think.The 2012 FINRA AWCFor 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, Jeffrey Arthur Cashmore submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. ... [read post]
6 Nov 2020, 7:39 am
The AMAC recommended permanent regulatory changes to these rules that will outlast the duration of the pandemic.Digital delivery. [read post]
5 Nov 2020, 9:03 pm
Department of the Treasury to authorize and financially support public banks. [read post]
5 Nov 2020, 9:18 am
FINRA Sanctions First Clearing LLC for Failure to Provide Accurate Valuations on REITs & DPPs According to the Financial Industry Regulatory Authority (FINRA) on November 5, the regulator reportedly censured and fined broker-dealer First Clearing LLC (Wells Fargo Clearing Services, LLC CRD No. 19616) $300,000 in connection with alleged failure to provide accurate valuations on REITs & DPPs, as well as supervisory issues. [read post]
5 Nov 2020, 7:35 am
Biden would focus on consumer protection and increasing regulatory oversight, while President Trump would continue to dismantle financial regulation. [read post]
5 Nov 2020, 6:28 am
One observer has said that there are already 20 such suits, covering defendants in a variety of industries. [read post]
5 Nov 2020, 2:55 am
In addition this was a case where the ICO was the lead authority for the European Supervisory Authorities who have agreed with the ICO’s approach and report. [read post]
4 Nov 2020, 9:21 am
Ma, Ant’s chief executive Simon Hu and executive chairman Jack Ying were summoned to an unusual meeting with senior representatives of four Chinese regulatory bodies on Monday. [read post]
3 Nov 2020, 11:21 am
The Financial Industry Regulatory Authority (FINRA) has implemented a new rule– FINRA Rule 3241 — to limit brokers from holding positions of trust for clients, according to reports this week. [read post]
3 Nov 2020, 7:34 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 Nov 2020, 9:17 am
Jain commented that regulators can facilitate responsible innovation in the financial industry by engaging with key stakeholders, collaborating with other regulators, and providing regulatory clarity. [read post]
2 Nov 2020, 8:07 am
Not exactly the lyrics for a catchy tune, but, let's see if we can work on it.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, Bradley Hildebrand, submitted a Lette... [read post]
30 Oct 2020, 11:55 am
Criminal acts involving nursing home abuse or neglect can result in arrests and prosecution by the local authorities. [read post]
30 Oct 2020, 11:21 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
30 Oct 2020, 11:19 am
Former Customers of Boca Raton, Florida Financial Advisor Request $700K in Damages Two investors have filed separate Financial Industry Regulatory Authority (FINRA) arbitration claims against Noble Capital Markets registered representative, Joseph Menachem Hain, also known as Joey Hain. [read post]
