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21 Sep 2020, 10:05 am
The Massachusetts Superior Court, Business Litigation Session, recently denied a broker-dealer’s motion to vacate a Financial Industry Regulatory Authority (FINRA) arbitration award requiring it to pay attorneys’ fees to its former employees, holding that the parties’ mutual request for attorneys’ fees in an arbitration can provide the requisite legal basis for an award of attorneys’ fees. [read post]
21 Sep 2020, 7:35 am
According to a Financial Industry Regulatory Authority (“FINRA”) letter of acceptance, waiver and consent Rodemer signed on March 23, 2020, Stifel terminated him for taking “money from a client account for his personal use without authorization. [read post]
21 Sep 2020, 6:11 am
Before the SEC took action, the Financial Industry Regulatory Authority (FINRA) barred Fries from the securities industry in November 2019 for violating FINRA Rule 8210. [read post]
21 Sep 2020, 6:08 am
With many tech companies less than three decades old, their maturity as companies and as an industry pales in comparison to other industries such as the finance, automotive or aviation sectors. [read post]
18 Sep 2020, 12:11 pm
Accordingly, the guidance highlights and explains critical elements of value-based payment design and operations, including: Level and scope of financial risk; Benchmarking; and Payment operations. [read post]
18 Sep 2020, 10:31 am
” The Financial Industry Regulatory Authority (FINRA) reportedly barred Flynn in June 2018 from associating with any FINRA member at any time after he failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
18 Sep 2020, 9:48 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
18 Sep 2020, 8:24 am
” The Financial Industry Regulatory Authority (FINRA) reportedly barred Fries on August 13, 2019 from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
18 Sep 2020, 1:10 am
All of this is to say: now more than ever, there is regulatory appetite and political will in Australia to hold Facebook et al accountable. [read post]
17 Sep 2020, 9:05 pm
AstraZeneca has remained tight lipped about the participant’s illness while emphasizing its commitment to industry and regulatory safety standards. [read post]
16 Sep 2020, 12:57 pm
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]
14 Sep 2020, 5:24 pm
Securities and Exchange Commission and was sworn in on January 11, 2018, sought to take on the current movements to shift the fundamental regulatory narrative of corporations from an institutional/shareholder wealth maximizing model to a stakeholder/societal welfare maximizing one. [read post]
14 Sep 2020, 9:42 am
Family Trust to Receive Compensatory Damages From Broker-Dealer In its Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates and former broker Paul Anthony Steffany, the Angelina J. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), one of Appelbaum’s customer complaints likely involves the sale of structured products. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
14 Sep 2020, 2:00 am
Note the following statistics from IBM’s 2020 “Cost of a Data Breach Report”: The country with the highest cost of a data breach—United States, $8.19 millionHighest industry average cost—health care, $6.45 millionAverage time to identify and contain a breach—279 daysAverage size of a data breach—25,575 recordsAverage per-record cost for a data breach—$150Aside from the costs of a data breach, there can be compliance and… [read post]
11 Sep 2020, 11:42 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]
11 Sep 2020, 11:35 am
The Financial Industry Regulatory Authority (FINRA) has issued a warning to investors regarding “China” stocks. [read post]
11 Sep 2020, 11:18 am
At Shepherd Smith Edwards and Kantas (SSEK Law Firm), our bond fraud lawyers are here to tell you that you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker that sold you these investments. [read post]
11 Sep 2020, 9:45 am
In a recent article titled, Working on the Front Lines of Investor Protection – The Importance of FINRA Rule 8210, the Financial Industry Regulatory Authority (FINRA) discusses the single most-common reason why brokerage firms and individual brokers get barred from the securities industry. [read post]
