Search for: "Financial Industry Regulatory Authority"
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16 Jun 2020, 6:40 am
FINRA Rule 8210 allows FINRA’s enforcement attorney’s the authority to investigate matters under its regulatory purview. [read post]
16 Jun 2020, 6:21 am
Last week, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance Waiver and Consent (AWC) censuring Merrill Lynch and ordering $7.2 million in restitution to investor clients. [read post]
15 Jun 2020, 7:00 am
McCain National Defense Authorization Act for Fiscal Year 2019 (NDAA) that impacts federal contracts will take effect in August 2020. [read post]
14 Jun 2020, 9:07 pm
Singapore’s regulatory response to COVID-19 demonstrates the supremacy of parliamentary logic. [read post]
11 Jun 2020, 9:05 pm
” FLASHBACK FRIDAY In a 2018 essay for The Regulatory Review, Paul Heaton and John Hollway of the Quattr [read post]
11 Jun 2020, 4:26 pm
For more information about the these or other health or other legal, management or public policy developments, please contact the author Cynthia Marcotte Stamer via e-mail or via telephone at (214) 452 -8297. [read post]
11 Jun 2020, 9:51 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
11 Jun 2020, 9:48 am
SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to early UIT rollovers According to the Financial Industry Regulatory Authority (FINRA) today, SagePoint Financial (CRD #133763, Phoenix, AZ) was censured and fined $300,000 and ordered to pay restitution to customers in the amount of $1,315,373.01, plus interest. [read post]
11 Jun 2020, 9:18 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
10 Jun 2020, 1:22 pm
To effectuate the scheme, the complaint alleges that Spartan Securities filed fraudulent applications with Financial Industry Regulatory Authority (FINRA) to publicly list the companies’ common stock and ultimately enable the shares to become free-trading and available to public investors. [read post]
10 Jun 2020, 8:16 am
Broker Dee Dee Brooks, Signator Investors in Huntington Beach, CA Signator Investors Advisor Reportedly Barred after Allegations of FIP & Woodbridge Recommendations According to disclosures on the Financial Industry Regulatory Authority (FINRA) website on June 9, the regulator has reportedly barred financial advisor Dee Dee Brooks from working in the securities industry. [read post]
8 Jun 2020, 9:05 pm
In Washington, the state’s Health Care Authority procures standardized plans from private insurers in a government-contracting system in which private insurers will take on the financial risk for paying for enrollees’ care. [read post]
8 Jun 2020, 11:52 am
Over the past decade, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have issued a Regulatory Notice and several investor alerts warning investors of these risks and instructing brokerage firms and investment advisors to be transparent and diligent in the marketing and sale of these risky and complex investments. [read post]
8 Jun 2020, 11:10 am
The Financial Industry Regulatory Authority (“FINRA”) has conducted investigations and taken regulatory action in the past to address misconduct in the marketing and sale of these investments. [read post]
8 Jun 2020, 5:46 am
Aubrey Morrow Recommended High-Risk Investments Misaligned with Their Stated Goals The Financial Industry Regulatory Authority, Inc. [read post]
8 Jun 2020, 5:46 am
Aubrey Morrow Recommended High-Risk Investments Misaligned with Their Stated Goals The Financial Industry Regulatory Authority, Inc. [read post]
8 Jun 2020, 12:20 am
See what you think.Case In PointIn a Financial Industry Regulatory Authority Arbitration Statement of Claim filed by FINRA member firm FSC Securities in January 2020, the firm asserted unjust enrichment and breach of fiduciary duty. [read post]
5 Jun 2020, 8:56 pm
In a June 4 letter to SEC Chairman Clayton, Securities Industry and Financial Markets Association (SIFMA) offered input on the data security questions raised earlier this year by the Commission to its staff regarding the consolidated audit trail (CAT). [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
5 Jun 2020, 12:19 pm
FINRA Accuses SunTrust Investment Services of Failing to Properly Supervise Brokers The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust to pay $634K to settle charges accusing the broker-dealer of not properly supervising 17 of its brokers when they recommended that customers hold non-traditional exchange-traded funds (ETFs) for long periods–a practice that can lead to losses especially when there is market volatility. [read post]
