Search for: "Financial Industry Regulatory Authority"
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24 Jun 2020, 10:46 am
But under Liu, neither of these features of disgorgement is authorized under Section 21(d)(5). [read post]
24 Jun 2020, 8:49 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]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
23 Jun 2020, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Ayre’s customer complaints alleges that Ayre recommended unsuitable investments in various investments including allegations of concentrations in energy securities and corporate debt among other allegations of misconduct relating to the handling of their accounts. [read post]
23 Jun 2020, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radli has been accused by customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
22 Jun 2020, 1:20 pm
FINRA Says SagePoint Financial Brokers Unsuitably Recommended Early UIT Rollovers The Financial Industry Regulatory Authority (FINRA) is ordering SagePoint Financial to pay over $1.6M in fines and restitution after it executed over $895 million in unit investment trust (UIT) transactions that resulted in more than $17.2 million in sales charges. [read post]
22 Jun 2020, 6:48 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor David Krumrey (Krumrey), in January 2018, was sanctioned by FINRA and barred from the financial industry concerning his failure to respond to an investigation into the sales of leveraged exchanged traded funds (Non-Traditional ETFs). [read post]
22 Jun 2020, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Davidson’s customer complaints alleges that Davidson recommended unsuitable investments in various investments such structured products and corporate debt among other allegations of misconduct relating to the handling of their accounts. [read post]
21 Jun 2020, 9:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Kennedy was employed by his prior employer Woodbury Financial Services, Inc. [read post]
21 Jun 2020, 8:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Esh was employed by his prior employer LPL Financial LLC (LPL Financial) prior to being investigated concerning his activities. [read post]
20 Jun 2020, 1:50 am
Financial Industry Regulatory Authority, Appellee (Judgment, DCCir)Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding (SEC Release)Justice Department’s Antitrust Division And The Securities And Exchange Commission Sign Historic Memorandum Of Understanding (DOJ Release)Modernizing U.S. [read post]
18 Jun 2020, 1:49 pm
He had been in the industry since 2004. [read post]
18 Jun 2020, 7:26 am
But some retail industry observers are concerned about potential long-term costs from the pandemic. [read post]
17 Jun 2020, 12:58 pm
FINRA, the Financial Industry Regulatory Authority, issued an eye-catching warning in Regulatory Notice 20-14 about a particularly complex and risky type of security: Oil and Gas Exchange Traded Products, or ETPs. [read post]
17 Jun 2020, 12:06 pm
Industries such as healthcare, government contracting, and financial institutions especially should be wary because they are heavily regulated and frequently targeted by qui tam whistleblowers. [read post]
17 Jun 2020, 10:25 am
SagePoint Financial has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $1.3 million in restitution to customers for alleged failings related to unit investment trusts (UITs). [read post]
16 Jun 2020, 5:42 pm
The federal agency primarily responsible for the implementation and enforcement of HIPAA, the Department of Health & Human Services Office of Civil Rights (“OCR”) regulatory guidance and enforcement history clearly communicates OCR’s view that covered entities or business associates violate HIPAA by disclosing protected health information to the media or other third parties without first obtaining a HIPAA-compliant authorization from the subject of the… [read post]
16 Jun 2020, 2:18 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
16 Jun 2020, 9:11 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
