Search for: "Financial Industry Regulatory Authority"
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12 Jul 2020, 7:40 am
It is important to understand that under the new system I described, the entire financial and regulatory life of a business in China is done over the Internet. [read post]
10 Jul 2020, 1:05 pm
He had been in the industry since 2001. [read post]
9 Jul 2020, 3:35 pm
Here is the authors’ article. [read post]
9 Jul 2020, 1:15 pm
Broker Investigation: Henry Arthur Taylor III, Cetera in Springdale, AR According to The Financial Industry Regulatory Authority (FINRA), and reports, FINRA has suspended broker Henry Arthur Taylor III from association with any FINRA member for three months after he allegedly made a $30,000 private securities investment in a trucking firm without notifying Cetera and then purportedly tried to conceal it from the firm. [read post]
9 Jul 2020, 12:59 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator says it has settled with Morgan Stanley for $875,000 over allegedly inaccurate securities trading data. [read post]
9 Jul 2020, 7:24 am
With the scandal undermining Germany’s reputation as a place to do business, the government is overhauling who regulates who, but it could also spark a regulatory rethink with consequences for the broader fintech industry. [read post]
9 Jul 2020, 6:40 am
If this happens, clients can sue their broker by filing an arbitration claim within the dispute resolution forum of the Financial Industry Regulatory Authority (FINRA) – the only forum for retail investors to sue brokers and brokerage firms. [read post]
8 Jul 2020, 9:46 am
FINRA Reportedly Bars Advisor Ronald “Ron” Hannes after Allegations of Converting Customer Funds On February 13, 2020, the Financial Industry Regulatory Authority (FINRA) reportedly barred Hannes after he failed to produce documents and information requested by FINRA during its investigation into allegations that he converted customer funds. [read post]
8 Jul 2020, 1:09 am
FINRA Sanctions Cadaret Grant for Ex-rep’s Alleged Ponzi-scheme According to The Financial Industry Regulatory Authority (FINRA) on Monday, the regulator has fined broker-dealer Cadaret Grant $200,000, alleging the firm failed to reasonably supervise a former broker in connection with a purported Ponzi-scheme. [read post]
7 Jul 2020, 8:49 am
Dewes after Allegations of Selling Away According to public records on the Financial Industry Regulatory Authority’s website, on March 30, Dewes allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into his potential alleged participation in undisclosed private securities transactions and outside business activities. [read post]
7 Jul 2020, 5:21 am
This is the case whether the dispute arises in the specific context of sexual abuse or more broadly in financial services and data breach disputes or other mass-harm cases. [read post]
6 Jul 2020, 9:05 pm
Sandra Eskin, who directs The Pew Charitable Trusts’ work on food safety says the FDA report presents a food safety problem that cannot be solved by a single industry or regulatory athority. [read post]
4 Jul 2020, 4:02 am
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, Cha... [read post]
3 Jul 2020, 12:36 pm
While the report only identifies recommendations, and has no authority to create change, it is expected to influence lawmakers and regulatory groups to adopt at least some of the recommendations regarding securitizations. [read post]
2 Jul 2020, 9:05 pm
Duff, and Sidney Shapiro proposed federal regulatory changes to decrease workplace COVID-19 risk faced by workers in health care, meatpacking, retail, and mining industries. [read post]
2 Jul 2020, 8:40 am
The European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority — collectively the European Supervisory Authorities — responded on Monday to the commission’s consultation on how it should regulate growing pressure on financial sectors to move online. [read post]
2 Jul 2020, 7:35 am
Senior Investors Lose Money in Risky Structured Product Tied To Price of Oil An elderly retiree couple has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial, LLC and its broker, Bret Alexander Hartman, to recover losses they sustained in a structured product tied to the price of oil. [read post]
1 Jul 2020, 11:13 am
The decision has a number of immediate consequences: First, it is clear that the President has the authority and power to remove the incumbent CFPB Director and appoint a new director at will. [read post]
1 Jul 2020, 10:48 am
Broker Gregory Ricker, Westpark Capital in Boca Raton, FL FINRA Reportedly Suspends Gregory Ricker for Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended and fined financial advisor Gregory Ricker $75,000 after allegations that he “participated in private securities transactions by referring a potential investor to a company and receiving selling compensation in the amount of… [read post]
1 Jul 2020, 4:05 am
Citing Second Circuit precedent, Judge McMahon further held that, as landlords can still make viable use of their property by renting apartments and collecting rents, they thus could not establish a regulatory taking.Similarly, in rejecting the Contracts Clause challenge, the court concluded that landlords should have reasonably foreseen that their lease agreements could be subject to further regulatory dictates. [read post]
