Search for: "Financial Industry Regulatory Authority"
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25 May 2020, 3:57 am
Center Street Securities, Inc. is a member firm of the Financial Industry Regulatory Authority (FINRA) and Satya Shaw was in their employment when the alleged conducts of the pending customer disputes were carried out. [read post]
25 May 2020, 3:57 am
Center Street Securities, Inc. is a member firm of the Financial Industry Regulatory Authority (FINRA) and Satya Shaw was in their employment when the alleged conducts of the pending customer disputes were carried out. [read post]
22 May 2020, 5:42 pm
Property and Casualty Insurance Virgin Islands: On May 18, the Division of Banking, Insurance and Financial Regulation issued Bulletin 2020-11 to all licensed or authorized property and casualty commercial insurers regarding a data call to collect data related to Business Interruption Insurance and COVID-19. [read post]
22 May 2020, 11:58 am
If the records are not accurate or look “too perfect to be honest” such as an employee working from 8 am to 4 pm every day with precisely an hour for lunch between noon and 1 pm, they will be dismissed by a regulatory authority such as the USDOL. [read post]
22 May 2020, 9:58 am
Dispute resolution statistics posted on the Financial Industry Regulatory Authority Inc. [read post]
22 May 2020, 3:00 am
National/Federal Appeals Court Greenlights Emoluments Suit against Trump Politico – Josh Gerstein | Published: 5/14/2020 A lawsuit accusing President Trump of violating the Constitution by accepting foreign government money through his Washington, D.C. hotel can proceed to fact-gathering about Trump’s profits, a federal appeals court ruled. [read post]
21 May 2020, 5:53 pm
Property and Casualty Insurance Virgin Islands: On May 18, the Division of Banking, Insurance and Financial Regulation issued Bulletin 2020-11 to all licensed or authorized property and casualty commercial insurers regarding a data call to collect data related to Business Interruption Insurance and COVID-19. [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
21 May 2020, 6:47 am
The Draft Bill is the culmination of a series of consultations between the MCI, PDPC and public and industry stakeholders over the past three years. [read post]
20 May 2020, 1:06 pm
Financial Advisor Lenny Kinsman, Wells Fargo Advisors in Staten Island, NY Leonard Kinsman Reportedly Barred after Alleged Failure to Provide Testimony in FINRA’s investigation According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator has reportedly barred financial advisor Leonard Kinsman after he apparently failed to provide information in its investigation about “the events resulting… [read post]
20 May 2020, 12:38 pm
How Does FINRA Handle A Zoom Securities Arbitration The Financial Industry Regulatory Authority (“FINRA”) recently set forth guidelines and best practices for the administration of arbitrations and mediations remotely via the Zoom platform. [read post]
18 May 2020, 5:00 pm
A majority of the comments, which were submitted from industry associations, end-users, traders, commercial participants, and exchanges were generally supportive of the proposed rules, while there were some calls for greater clarity or further regulatory relief. [read post]
18 May 2020, 10:19 am
Brokerage Firm Made Unsuitable Investment Recommendations to An Inexperienced Investor Our brokerage firm fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed a Financial Industry Regulatory Authority (FINRA) arbitration against Morgan Stanley on behalf of an elderly Dallas, Texas investor. [read post]
18 May 2020, 9:18 am
FINRA Broker Disciplinary Action Report: May 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]
17 May 2020, 12:44 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bourke’s customer complaints alleges that Bourke recommended unsuitable investments in various investments including allegations of concentrations in energy securities among other allegations of misconduct relating to the handling of their accounts such as unauthorized trading. [read post]
17 May 2020, 8:14 am
Still, the basic functions--to quantify and identify, to protect the moral values of the social order, and to bear responsibility for public works and finances (moral and financial corruption), continues to define the function of civil society, and to drive their work. [read post]
15 May 2020, 11:49 am
As you are aware, things are changing quickly, there is no clear-cut authority or bright line rules in this area, and the aid measures and interpretations described here may change. [read post]
15 May 2020, 11:47 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]
15 May 2020, 7:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Jaramillo has been terminated by his prior employer, Western International Securities, Inc. [read post]
