Search for: "Financial Industry Regulatory Authority"
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29 May 2020, 3:00 am
The industry is one of the lobbying world’s quiet powerhouses. [read post]
28 May 2020, 9:05 pm
This approach aligns with the Federal Council’s controversial Ordinance on the Recapitalization of UBS AG in 2008 and with the Swiss Federal Supreme Court’s equally criticized UBS and Swiss Financial Market Supervisory Authority judgment. [read post]
28 May 2020, 12:52 pm
FINRA Hits Stifel with more than $3.6 million in sanctions for sales of UITs According to the Financial Industry Regulatory Authority Inc. [read post]
28 May 2020, 8:23 am
Legal and Regulatory Developments SPOTLIGHT: French Anti-Trust Watchdog Shines a Light on FintechFinextra – May 27, 2020 France’s competition authority has launched a public consultation into the fintech sector, with a focus on payment services. [read post]
27 May 2020, 7:48 am
Botner had been in the securities industry since 2006. [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodemer was terminated by his prior employer, Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) concerning his theft and misappropriation of client funds. [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Arora was terminated by his prior employer, Transamerica Financial Advisors, Inc. [read post]
27 May 2020, 3:38 am
Some UK financial institutions, for example, Lloyds of London, have publicly confirmed their involvement in the global legal cannabis industry, whilst others are taking a more conservative approach. [read post]
27 May 2020, 2:17 am
Securities Lawyers Investigate Allegations Involving Broker Robert Korzik A New Jersey based previously registered broker and investment adviser Robert Nicholas Korzik was the subject of a regulatory action instituted against him by the Financial Industry Regulatory Authority (FINRA) leading to his suspension on the allegation of engaging in unapproved private transactions according to an investigation by securities lawyer, Alan Rosca. [read post]
27 May 2020, 2:17 am
Securities Lawyers Investigate Allegations Involving Broker Robert Korzik A New Jersey based previously registered broker and investment adviser Robert Nicholas Korzik was the subject of a regulatory action instituted against him by the Financial Industry Regulatory Authority (FINRA) leading to his suspension on the allegation of engaging in unapproved private transactions according to an investigation by securities lawyer, Alan Rosca. [read post]
26 May 2020, 2:58 pm
As discussed in a May 11, 2020 Financial Times article (here), Chinese authorities have themselves also increased their scrutiny of publicly traded Chinese companies. [read post]
26 May 2020, 1:50 pm
On February 12, 2020, the Financial Industry Regulatory Authority (“FINRA”) permanently barred Ronald Hannes (Ronald Walter Hannes CRD# 1452241) from associating with any FINRA member in any capacity for refusing to cooperate with FINRA officials during their investigation of him for conversion of consumer funds. [read post]
26 May 2020, 9:19 am
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]
26 May 2020, 7:26 am
Our Texas investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are representing this investor in Financial Industry Regulatory Authority (FINRA) arbitration to recover these losses. [read post]
26 May 2020, 6:30 am
More recently, we have seen expanded authority given to nontraditional regulators, including state departments of insurance and financial regulation. [read post]
26 May 2020, 6:30 am
More recently, we have seen expanded authority given to nontraditional regulators, including state departments of insurance and financial regulation. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
26 May 2020, 5:43 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Buffington (Buffington), formerly associated with Aegis Capital Corp. [read post]
25 May 2020, 9:03 pm
Many authenticity testing methods require specialist instrumentation and skills, which can be costly for industry and local authorities and the enforcement system for food laws is split between multiple bodies, including local authorities and regulators. [read post]
25 May 2020, 9:49 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Chu left his prior employer, NYLife Securities, LLC (NYLife Securities) prior to several customer complaints concerning the sale of promissory notes. [read post]
