Search for: "Financial Industry Regulatory Authority"
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4 Jun 2020, 9:05 pm
Department of Education rule, which will go into effect on July 1, limits the amount of time borrowers have to apply for relief and requires proof of financial harm. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
4 Jun 2020, 7:30 am
-based trade group (Jackson also authors the monthly Payments 3.0 column for Digital Transactions). [read post]
4 Jun 2020, 6:21 am
If a country could attain unchallenged command of the air, it could launch a rapid assault against the industrial plant and infrastructure of its adversary, destroying the people’s will to resist. [read post]
3 Jun 2020, 9:46 am
Fired Wells Fargo Representative is Barred by FINRA The Financial Industry Regulatory Authority (FINRA) announced this month that it is barring former Wells Fargo Advisors Financial Network broker, Leonard Charles Kinsman, from the industry. [read post]
3 Jun 2020, 9:42 am
Financial Advisor Donald Padilla, LPL Financial in Alhambra, CA Donald Padilla Reportedly Suspended from the Securities Industry According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator reportedly suspended Donald Padilla on June 2, 2020, from association with any FINRA member in any capacity. [read post]
2 Jun 2020, 3:05 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
2 Jun 2020, 11:16 am
Recovering UBS YES Losses Through FINRA Dispute Resolution FINRA (the Financial Industry Regulatory Authority) operates a dispute resolution forum where non-judicial arbitration and mediation can resolve securities-related disputes between investors and brokerage firms and brokers. [read post]
2 Jun 2020, 10:33 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates broker-dealers and their employees, has a series of rules requiring broker-dealers to establish and maintain a supervisory system to supervise its brokers and other employees, as well as to monitor all trading activity to ensure compliance with applicable securities laws and regulations. [read post]
2 Jun 2020, 8:45 am
Financial Advisor Jim Schwartz, Aegis Capital Corp. in Melville, NY James Schwartz Reportedly Barred after Allegations of Churning & Excessive Trading According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator reportedly barred James Schwartz (Jim Schwartz) after he allegedly churned and excessively traded the accounts of customers of his member firm. [read post]
2 Jun 2020, 7:42 am
Financial Advisor Bob Korzik, Ameriprise Financial Services in Little Falls, NJ Robert Korzik Reportedly Suspended and Fined after Allegations of Selling Away According to public records on the Financial Industry Regulatory Authority (FINRA) website on May 26, 2020, the regulator has reportedly fined and suspended Robert Korzik (Bob Korzik) after he allegedly participated in and solicited Firm customers to invest in private securities… [read post]
1 Jun 2020, 9:14 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates the conduct of stockbrokers, generally prohibits brokers from borrowing money from their customers. [read post]
1 Jun 2020, 5:01 am
At Least Two of Marc Menton’s Customers Have Pending Disputes Accusing the Former Arizona Investment Adviser and Broker of Alleged Impropriety A review of Marc Menton‘s Financial Industry Regulatory Authority, Inc. [read post]
1 Jun 2020, 5:01 am
At Least Two of Marc Menton’s Customers Have Pending Disputes Accusing the Former Arizona Investment Adviser and Broker of Alleged Impropriety A review of Marc Menton‘s Financial Industry Regulatory Authority, Inc. [read post]
31 May 2020, 3:34 pm
Odijie, Is traditional industrial policy defunct? [read post]
29 May 2020, 11:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Santiago’s customer complaints alleges that Santiago recommended unsuitable investments and account mismanagement among other allegations of misconduct relating to the handling of their accounts. [read post]
29 May 2020, 9:14 am
Alabama Retiree Lost Retirement Savings To Broker Fraud and Negligence An investor in Alabama has filed a Financial Industry Regulatory Authority (FINRA) arbitration complaint against Kestra Investment Services, Inc. for retirement losses that she suffered while working with the now-former broker, James Daughtry. [read post]
29 May 2020, 9:04 am
Given the enormous benefits it derives, you would think the Trump administration would enthusiastically protect the social media industry rather than trying to blow it up. [read post]
29 May 2020, 6:10 am
DEFINITION OF FINANCIAL INSTITUTION When purchasing debt under a German-law governed lo [read post]
29 May 2020, 4:00 am
” And that LSO, … consider proposals that in the public interest may expand or clarify the scope of its regulatory authority over legal service providers … (which could include) …, technology in practice and related innovations; direct-to-consumer services regulation; services provided by non-licensees; practice-specific regulation, which may also align with limited licensing options as enhancements to competency and quality of service; and the… [read post]
