Search for: "Financial Industry Regulatory Authority"
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15 May 2020, 7:49 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
15 May 2020, 6:20 am
Nelson, J.D.The Financial Industry Regulatory Authority, Inc. obtained SEC no-action relief so that the broker-dealer self-regulatory organization can issue temporary guidance and other relief to its members who have been affected by the COVID-19 pandemic. [read post]
14 May 2020, 9:05 pm
Trump’s accounting firm and two of his major business lenders for financial records. [read post]
14 May 2020, 1:10 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
14 May 2020, 12:40 pm
Financial Advisor Art Hoffman, Ameriprise Financial Services in Glendale, AZ According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator has reportedly barred financial advisor Arthur Hoffman after he apparently failed to provide information in its investigation about his alleged outside business activities. [read post]
14 May 2020, 8:35 am
Again Delays New Payment Authentication StandardsBusiness Travel News – May 12, 2020 (click here for the Financial Conduct Authority’s announcement) The United Kingdom will delay by six months the introduction of tough new payment verification requirements that will affect many business travel users of plastic corporate cards, the country’s Financial Conduct Authority said. [read post]
14 May 2020, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital Investment Group, Inc. [read post]
14 May 2020, 7:28 am
LaBelle was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside business activity conduct. [read post]
14 May 2020, 5:50 am
On April 28, 2020, the Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against an ex-Ameriprise representative, alleging he converted more than $42,000 of an elderly client’s funds for his own use. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
13 May 2020, 11:45 pm
The Steering Group The Steering Group’s members comprise of the Securities and Futures Commission (SFC), the Hong Kong Monetary Authority (HKMA), the Hong Kong Exchanges and Clearing Limited, the Insurance Authority, the Mandatory Provident Fund Schemes Authority, the Environment Bureau and the Financial Services and the Treasury Bureau. [read post]
13 May 2020, 11:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Lewis has been terminated by his two prior employers concerning his outside business activities. [read post]
13 May 2020, 11:22 am
Due to the increase in sales of these investment arrangements, The Financial Industry Regulatory Authority’s (FINRA), the industry’s self-regulatory watchdog, issued an “Investor Alert” entitled “Securities-Backed Lines of Credit – It May Pay to See Beyond the Pitch. [read post]
12 May 2020, 4:53 pm
The Rule applies to authorized and surplus lines insurers. [read post]
12 May 2020, 11:59 am
FDA Coordinated FDA Approach on Digital – the FDA Commissioner would be required to work with CDER, CBER and CDRH to establish “collaborative regulatory alignment where advisable” to the goal of having common regulatory standards across agencies on the integration of digital technologies for improved health care. [read post]
12 May 2020, 8:40 am
FINRA’s Name Used in New Attempts to Scam InvestorsFINRA's recent Investor Alert was an eery one, given that the FINRA name itself is being used by scammers to lure in unwitting investors.The Financial Industry Regulatory Authority warned broker-dealers and retail investors alike about phishing emails that purport to be from the self-regulator.In Regulatory Notice 20-12, FINRA pointed out fraudulent emails purporting to be from FINRA… [read post]
12 May 2020, 8:21 am
Broker David Weisberg, Worden Capital Management in New York, NY According to public records on the Financial Industry Regulatory Authority (FINRA) website, David Weisberg was reportedly suspended from associating with any FINRA member for 11 months and sanctioned with a fine of $7,500.00, plus disgorgement of $75,638.00. [read post]
12 May 2020, 3:07 am
According to the Financial Industry Regulatory Authority, William Aubrey Morrow has reportedly been the broker of record for at least twelve (12) customer disputes for similar allegations. [read post]
11 May 2020, 8:45 pm
This is so the financial services industry and other stakeholders can understand – and plan for – the timing of those regulatory initiatives that may have a significant operational impact on them. [read post]
