Search for: "Financial Industry Regulatory Authority"
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11 Sep 2020, 4:37 am
He has been a broker registered with the Financial Industry Regulatory Authority (FINRA) member firms since end of 1998, when he passed his Series 6 Exam. [read post]
11 Sep 2020, 4:37 am
He has been a broker registered with the Financial Industry Regulatory Authority (FINRA) member firms since end of 1998, when he passed his Series 6 Exam. [read post]
10 Sep 2020, 6:15 pm
Court Name of the Case (Citation) Issues Outcome 1 HIGH COURT OF BOMBAY Integral Industries Pvt. [read post]
10 Sep 2020, 7:15 am
The Financial Industry Regulatory Authority, or “FINRA” sets the standards in the brokerage industry for the suitable sale of investments to brokerage clients. [read post]
9 Sep 2020, 1:00 pm
GPB Capital has been under investigation by various regulators, including the SEC, the Financial Industry Regulatory Authority and the FBI since 2018. [read post]
9 Sep 2020, 12:58 pm
It may mean expanding the authority of administrative subpoenas for corporate datasets. [read post]
9 Sep 2020, 7:24 am
Murphy (a/k/a Dennis James Murphy) (CRD# 4840274), a previously-registered broker, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to appear for testimony in connection with a FINRA investigation concerning his employer’s supervision of potentially unsuitable trading. [read post]
9 Sep 2020, 6:18 am
In this article, we offer our hard-won expertise to our colleagues in Mexican civil society, industry, lawmaking and to the Mexican public. [read post]
9 Sep 2020, 6:06 am
Hoffman) (CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. [read post]
8 Sep 2020, 9:39 am
Scott represents clients throughout the U.S. and elsewhere in the world in litigation and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the American Arbitration Association (AAA). [read post]
8 Sep 2020, 1:03 am
And FINRA imposed a fine and sent the rep to the penalty box.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, Patrick J. [read post]
7 Sep 2020, 2:06 pm
The question is whether we will see more litigation in the months ahead as the economic and financial impact of the pandemic continue to ripple through the economy. [read post]
7 Sep 2020, 12:30 am
Senior Investor’s Loses Retirement Funds Because of Unsuitable Investment An Arkansas retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial for losses he suffered because of the unsuitable recommendation of Rhett Douglas Bedwell, one of the broker-dealer’s former registered representatives. [read post]
4 Sep 2020, 6:27 pm
This included negotiating an agreement with Chinese authorities on cross-border enforcement cooperation in 2013. [read post]
4 Sep 2020, 12:15 pm
Peter Ianace, Wells Fargo, Plano, TX FINRA bars Peter Ianace after he Failed to Provide Testimony in its Investigation According to public records this week, the Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Peter Ianace (CRD#: 3238078) after he failed to provide information in connection with FINRA’s investigation into Ianace’s potential failure to disclose outside business activities to his… [read post]
4 Sep 2020, 6:19 am
FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on September 2, 2020, Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network have agreed to pay more than $1.4 million in restitution, plus interest, to about 100 customers, as well as fines totaling $675,000, for failing to supervise recommendations that customers switch from variable annuities to other… [read post]
4 Sep 2020, 3:00 am
“I’ve been following health regulatory decisions for decades and have never seen this amount of White House arm twisting to force agencies … to make decisions based on political pressure, rather than the best science,” said Jerome Avorn, a professor at Harvard Medical School. [read post]
3 Sep 2020, 8:57 pm
As the COVID-19 pandemic continues to provide uncertainty and challenges for all industry sectors, the funds and financial industry has remained in the spotlight for August 2020. [read post]
3 Sep 2020, 6:27 pm
Stamer or her health industry and other experience and involvements, see http://www.cynthiastamer.com or contact Ms. [read post]
3 Sep 2020, 7:51 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
