Search for: "Financial Industry Regulatory Authority"
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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]
1 Jul 2020, 3:44 am
The CFRF, which is co-chaired by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), aims to build capacity and share best practice across financial regulators and industry to advance the sector’s approach to understanding and mitigating the financial risks, and the opportunities, posed by climate change. [read post]
30 Jun 2020, 12:47 pm
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]
30 Jun 2020, 12:16 pm
Crown Capital Securities Broker Was Recently Named in Four FINRA Arbitration Claims Dennis Haywood, a Crown Capital Securities broker, is now named in four customer disputes, all of which were filed in the last two months with the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jun 2020, 7:48 am
According to the Financial Industry Regulatory Authority ( FINRA), Angelo Talebi was previously suspended from the securities industry and fined $10,000 for allegedly executing transactions in a customer’s online account. [read post]
30 Jun 2020, 5:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Burkoff’s one of customer complaints alleges that Burkoff recommended unsuitable investments in various investments such structured products among other allegations of misconduct relating to the handling of their accounts. [read post]
29 Jun 2020, 2:53 pm
Christopher Brummer] and FINRA [the Financial Industry Regulatory Authority] claim are protected from disclosure … as attorney work product or … as material prepared in anticipation of litigation. [read post]
29 Jun 2020, 1:55 pm
FINRA Broker Disciplinary Action Report: June 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 Jun 2020, 1:11 pm
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]
29 Jun 2020, 12:16 pm
COVID-19 Causes This Mortgage REIT to Drop in Value If you lost money from investing in Granite Point Mortgage Trust (GPMT), you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker and their brokerage firm that sold this real estate investment trust (REIT) to you. [read post]
29 Jun 2020, 9:21 am
How should the licensed firm and firm with the conditional license divide responsibilities and obligations for ensuring compliance with legal and regulatory requirements? [read post]
27 Jun 2020, 2:54 am
Ahhh . . . that's today's puzzle.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admi... [read post]
26 Jun 2020, 9:16 am
Other COVID-19 Tax Rules & Relief The guidance and relief in Notice 2020-51 highlights only one of a long list of special COVID-19 associated tax rules and relief that could apply to a business, its employees or employee benefit plan participants or both including the following: IR-2020-127, IRS announces rollover relief for required minimum distributions from retirement accounts that were waived under the CARES Act IR-2020-126, IRS extends July 15, other upcoming deadlines for… [read post]
26 Jun 2020, 9:11 am
The Commission further alleged that the Financial Industry Regulatory Authority, Inc. [read post]
25 Jun 2020, 8:25 am
In the ANPR, the OCC states that the goals of its review are to evaluate whether its regulations “effectively take into account the ongoing evolution of the financial services industry, promote economic growth and opportunity and ensure that banks operate in a safe and sound manner, provide fair access to financial services, treat customers fairly, and comply with applicable laws and regulations. [read post]
25 Jun 2020, 8:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), formerly associated with Worden Capital Management LLC (Worden Capital), has been subject to at least four customer complaints and one regulatory action during his career. [read post]
25 Jun 2020, 8:00 am
Legal and Regulatory Developments SPOTLIGHT: Apple’s Easy Ride From U.S. [read post]
24 Jun 2020, 1:21 pm
The broker-dealer fired him last year and the Financial Industry Regulatory Authority (FINRA) barred him in January. [read post]
24 Jun 2020, 1:00 pm
” The broker-dealer reportedly agreed to pay a $1.55 million civil penalty to resolve the SEC’s charges and separately agreed to pay $1.55 million to the Financial Industry Regulatory Authority (FINRA) to resolve parallel charges, according to the press announcement. [read post]
24 Jun 2020, 10:52 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]
