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30 Jul 2020, 7:41 am
He had been in the industry since 2009. [read post]
30 Jul 2020, 7:14 am
Mexico’s financial authorities have also updated their country’s 2018 law, making shifts that allow financial companies to more easily connect with larger financial institutions (FIs) and other business partners via application programming interfaces (APIs). [read post]
30 Jul 2020, 2:39 am
Customers File Complaints Accusing Alternative Investments Broker Dennis Haywood II of Providing Unsuitable Advice to Invest in Non-Traded REITs and BDCs At least six customers have filed disputes against Florida broker Dennis Michael Haywood II since April 2020, according to the Financial Industry Regulatory Authority, Inc. [read post]
30 Jul 2020, 2:39 am
Customers File Complaints Accusing Alternative Investments Broker Dennis Haywood II of Providing Unsuitable Advice to Invest in Non-Traded REITs and BDCs At least six customers have filed disputes against Florida broker Dennis Michael Haywood II since April 2020, according to the Financial Industry Regulatory Authority, Inc. [read post]
29 Jul 2020, 1:42 pm
The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. [read post]
29 Jul 2020, 12:20 pm
” The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisors activities. [read post]
29 Jul 2020, 11:43 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]
29 Jul 2020, 9:04 am
FINRA Broker Disciplinary Action Report: July 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
29 Jul 2020, 8:00 am
First Republic was expelled by the Financial Industry Regulatory Authority (FINRA) in 2019. [read post]
28 Jul 2020, 1:59 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
28 Jul 2020, 11:29 am
He became registered with the Financial Industry Regulatory Authority (FINRA) member firm on 24th April 2020. [read post]
28 Jul 2020, 11:29 am
He became registered with the Financial Industry Regulatory Authority (FINRA) member firm on 24th April 2020. [read post]
28 Jul 2020, 7:57 am
Silver Law Group, a law firm that specializes in representing investors in securities arbitration proceedings administered by the Financial Industry Regulatory Authority (FINRA), has filed numerous arbitration claims against broker-dealers arising out of the improper marketing and sale of investments in various funds managed by GPB Capital Holdings, LLC, including: GPB Cold Storage GPB Automotive Portfolio GPB Holdings GPB Holdings II GPB Holdings III GPB Waste… [read post]
27 Jul 2020, 7:08 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
27 Jul 2020, 3:23 pm
The CFPB has announced that it plans to issue an advance notice of proposed rulemaking (ANPR) later this year on consumer-authorized access to financial records. [read post]
27 Jul 2020, 2:41 pm
Regulatory Approvals and Filings. [read post]
27 Jul 2020, 1:12 pm
The FCC has explained that these rules are meant to preserve a locally focused, commercial-free service, and in turn, these stations benefit from access to spectrum designated for their service and fewer regulatory requirements. [read post]
27 Jul 2020, 6:05 am
Of the 19 respondents from corporations, seven are in life sciences, three are in insurance, three are in telecommunications, two are in financial services, two are in manufacturing, and two are in technology. 89% work for companies with revenues that exceed $10 billion and have over 10,000 employees. [read post]
24 Jul 2020, 7:07 pm
Pix Credit: HereIn a quite deliberate way, the United States has in the last several days (finally) articulated its ideological line respecting the nature and course of U.S. relations with China. [read post]
24 Jul 2020, 12:10 am
Thompson also worked with leaders of the financial services industry to reform the operations of the New York Stock Exchange, and spearheaded the City's innovative Banking Development District program. [read post]
