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9 May 2018, 9:12 am
FINRA Sanctions Fifth Third Securities Inc., $4 Million Fine According to The Financial Industry Regulatory Authority (FINRA), the regulator has fined Fifth Third Securities Inc. $4 million and required the firm to pay approximately $2 million in restitution to customers for variable annuity exchange violations. [read post]
5 May 2015, 1:31 pm
Today, Law360 published our article “Considering Best Data Practices for ERISA Fiduciaries. [read post]
18 Jan 2024, 1:30 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
16 Aug 2023, 9:04 am
Michael Raineri Barred from Securities Industry February 2019 The Securities and Exchange Commission barred former Securities America broker Hector May for allegedly running a $7.9 million Ponzi scheme with his daughter who served as the controller of his investment advisory firm. [read post]
16 Mar 2023, 1:57 pm
But because the story is still yet to be told, the lawsuits seems, at best, premature. [read post]
9 Oct 2017, 10:00 pm
» Related StoriesAvoiding Glittering Generalities in Selecting eDiscovery Software – Considering Capability: eDiscovery Best PracticesAvoiding Glittering Generalities in Selecting eDiscovery Software – Considering Security: eDiscovery Best PracticesHere’s a Chance to Learn from the Epic Mistakes of Other High Profile Organizations: eDiscovery Best Practices [read post]
25 Feb 2011, 9:37 am
This week we continue our weekly installment highlighting the best of the corporate and securities blogosphere for the past week. [read post]
2 Jul 2013, 10:07 am
Way back when, somewhere around the time when you entered the securities industry, you were asked to fill out, review, and/or sign an ominous looking document called the Uniform Application For Securities Industry Registration Or Transfer ("Form U4"). [read post]
25 Mar 2020, 7:55 am
Government is arguably in the best position to assess national security risks, but assessing those risks will demand a clear understanding of technological trends that are determined primarily by investment in the private sector and researchers in academia. [read post]
10 Apr 2020, 10:59 am
This guidance is changing rapidly and there remains significant ambiguity on how to apply, qualify, and best position businesses for success in procuring the SBA Loans, as well as how to, once secured, comply with the loan terms and eventually secure loan forgiveness. [read post]
6 Aug 2017, 5:56 pm
Sometimes, a voluntary resignation is the best course. [read post]
29 May 2013, 10:51 am
“Electric Grid Vulnerability: Industry Responses Reveal Security Gaps,” by the staffs of U.S. [read post]
22 Dec 2020, 9:26 am
As urged by the Chamber of Commerce and other industry associations, these NIST products were developed by a consultative process. [read post]
6 Sep 2018, 6:52 am
After years of letting the Department of Labor do all the heavy lifting, the Securities and Exchange Commission finally swung into action a month after the 5th Circuit vacated the DOL’s Fiduciary Rule. [read post]
30 Nov 2017, 11:35 am
Podcast: The Alignment of E-Discovery, Technology, and Industry Insight Interview with Brad Jenkins by Legal Industry Analyst Ari Kaplan I spoke with Brad Jenkins, the co-founder and CEO of CloudNine Discovery, a cloud-based e-discovery software provider. [read post]
7 Jul 2023, 12:53 pm
FINRA and brokerage firms have established rules and regulations to ensure that brokers prioritize the best interests of their clients and maintain the integrity of the financial industry. [read post]
20 Oct 2017, 1:09 am
” Therefore, the report concludes that future federal policies should be “flexible” as to encourage “ongoing innovation and best practices” for security. [read post]
20 Oct 2017, 1:09 am
” Therefore, the report concludes that future federal policies should be “flexible” as to encourage “ongoing innovation and best practices” for security. [read post]
4 Jan 2020, 1:22 pm
Let’s take a closer look at factors that affect the decision to uncloud, as well as possible best practices that could obviate the challenges. [read post]
12 Nov 2021, 5:00 pm
Department of Labor is proposing to eliminate the Industry-Recognized Apprenticeship Program. [read post]
