Search for: "Financial Industry Regulatory Authority"
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26 Aug 2020, 4:00 am
Jody Ethan Thompson of Seaford, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretionary trading and made unsuitable recommendations in violation of NASD Rule 2510 and FINRA Rules 2111 and 2010. [read post]
25 Aug 2020, 12:29 pm
Morgan Stanley Settlement Includes FINRA Fine and Investor Restitution According to the Financial Industry Regulatory Authority (FINRA), Morgan Stanley Wealth Management has consented to pay a $175K fine and more than $774K in restitution for allegedly failing to supervise its former broker Kevin Gunnip. [read post]
25 Aug 2020, 2:26 am
The SEC notes that this is an important distinction as it’s reportedly against the defendants’ former employer’s company policy and a violation of Financial Industry Regulatory Authority Inc. [read post]
25 Aug 2020, 2:26 am
The SEC notes that this is an important distinction as it’s reportedly against the defendants’ former employer’s company policy and a violation of Financial Industry Regulatory Authority Inc. [read post]
24 Aug 2020, 9:05 pm
Do the authorization of telehealth practices and the relaxation of patient privacy rules during the COVID-19 pandemic represent the future of health care regulation? [read post]
24 Aug 2020, 4:12 pm
Financial Industry Regulatory Authority (FINRA) has issued a new regulatory notice warning members of threat actors using registered brokers’ info to create phishing websites. [read post]
24 Aug 2020, 12:52 pm
., Halletsville, TX According to public records, the Financial Industry Regulatory Authority (FINRA) on March 26, 2020 has barred Kenneth Butschek from associating with any FINRA member at any time after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
24 Aug 2020, 9:41 am
Our firm is seeking to uncover the cause of this sudden shift in the Vida Longevity Fund’s performance and determine if investors who have lost money with Vida Capital Management, LLC may be entitled to recover their losses through securities arbitration with the Financial Industry Regulatory Authority (FINRA) or securities litigation in federal court. 5 Important Facts for Investors Looking for Reviews of the Vida Longevity Fund If you are a current,… [read post]
24 Aug 2020, 7:50 am
Similarly, greater effective adoption of reg tech by financial institutions would lead to cost reductions in regulatory compliance and processes, including fraud detection, regulatory reporting, data collection and risk management. [read post]
24 Aug 2020, 7:48 am
The Northern District of Illinois recently denied a broker’s motion for a temporary restraining order and a preliminary injunction against the Financial Industry Regulatory Authority (FINRA) seeking to stop a scheduled remote arbitration hearing. [read post]
24 Aug 2020, 4:20 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds. [read post]
24 Aug 2020, 4:00 am
Jeffrey Scott Nimmow of Merrimac, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly engaging in unapproved private transactions and for not possessing the proper registration in violation of NASD Rule 1031 and FINRA Rules 3280 and 2010. [read post]
24 Aug 2020, 4:00 am
Jeffrey Scott Nimmow of Merrimac, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly engaging in unapproved private transactions and for not possessing the proper registration in violation of NASD Rule 1031 and FINRA Rules 3280 and 2010. [read post]
21 Aug 2020, 1:01 pm
FINRA Sanctions Moors & Cabot Inc. for Failure to Disclose $7.5 M in Compensation According to the Financial Industry Regulatory Authority (FINRA)on June 25, the regulator issued a Letter of Acceptance Waiver and Consent (AWC) to Moors & Cabot Inc., LLC (#CRD #594, Boston, Massachusetts) in which the firm was reportedly censured and fined $250,000. [read post]
21 Aug 2020, 12:16 pm
Cindy Foster has served as the Ombudsman for the Financial Industry Regulatory Authority since 2009. [read post]
21 Aug 2020, 4:00 am
David Francis Dalton of Chestnut Hill, Massachusetts submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly exercising discretion and causing his firm to create and maintain inaccurate books and records in violation of NASD Rules 2510(b) and 3110 and FINRA Rules 4511 and 2010. [read post]
21 Aug 2020, 4:00 am
David Francis Dalton of Chestnut Hill, Massachusetts submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly exercising discretion and causing his firm to create and maintain inaccurate books and records in violation of NASD Rules 2510(b) and 3110 and FINRA Rules 4511 and 2010. [read post]
20 Aug 2020, 2:04 pm
Stoltmann Law Offices, P.C. is investigating allegations made by the Financial Industry Regulatory Authority (FINRA) that Jose Yniguez sold clients approximately $99,000 worth of investments in an outside company. [read post]
20 Aug 2020, 7:45 am
Legal Recourse for Denver, Colorado Investors Who’ve Suffered Contract Violations If you are an investor whose broker or brokerage firm breached your agreement, causing you financial losses, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim for damages. [read post]
19 Aug 2020, 12:33 pm
JP Morgan to pay $650000 in fines plus restitution to customers for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA) on June 22, 2020, J.P. [read post]
