Search for: "Financial Industry Regulatory Authority"
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11 May 2020, 9:04 am
In regulatory America, any enterprise would be experienced with this audit/assessment/compliance construct. [read post]
11 May 2020, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Barreras’ customer complaints alleges that Barreras recommended unsuitable investments in various investments including allegations of unsuitable municipal bonds and mutual fund securities among other allegations of misconduct relating to the handling of their accounts. [read post]
10 May 2020, 5:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Vietor was terminated by his prior employer, CFD Investments, Inc. [read post]
9 May 2020, 4:15 pm
You’ll gain a renewed understanding about pertinent accounting, audit, legal, tax and regulatory updates relevant to this industry. [read post]
8 May 2020, 9:05 pm
To encourage compliance, the GDPR allows each EU member state’s data protection authority—the “independent public authorities that supervise” GDPR application—to fine violators the greater of either 20 million euros “or 4 percent of the firm’s worldwide annual revenue from the preceding financial year. [read post]
8 May 2020, 12:02 pm
Broker Charles Dorraine (CRD# 70411) has been barred by FINRA (the Financial Industry Regulatory Authority) for refusing to give testimony about recommendations to customers about Puerto Rican bonds. [read post]
8 May 2020, 10:19 am
His employer terminated him based on these charges, and further filed a report with the Financial Industry Regulatory Authority indicated he had behaved threateningly to another person. [read post]
8 May 2020, 7:33 am
Fox, Jr., who is the subject of several fraud and misappropriation-related customer complaints on his BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA). [read post]
8 May 2020, 3:00 am
Some news companies that have snagged loans have had no such qualms amid layoffs, furloughs, and pay cuts that have slammed the industry. [read post]
7 May 2020, 9:51 am
Woods Reportedly Suspended from the Securities Industry According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Donald Woods for six months. [read post]
7 May 2020, 8:02 am
This has prompted banks, financial authorities, and now governments to introduce more effective means of financial transactions. [read post]
7 May 2020, 6:59 am
Financial Advisor Bryan Benson, Wells Fargo Clearing Services, Tucson, AZ Bryan Benson Reportedly Barred after Failure to Provide Testimony in FINRA’s Investigation According to the Financial Industry Regulatory Authority (FINRA, the regulator has reportedly barred broker Bryan Benson after he refused to provide information for its investigation into a customer complaint. [read post]
7 May 2020, 5:25 am
Financial Advisor James Garland Kennedy, Jr., Woodbury Financial Services, Madison, MS Jim Kennedy Reportedly Barred after Failure to Provide Testimony in FINRA’s Investigation According to a Letter of Acceptance, Waiver and Consent, The Financial Industry Regulatory Authority (FINRA) has reportedly barred James Garland Kennedy Jr. [read post]
6 May 2020, 11:27 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance…Read the Full Press ReleaseHave a securities law question? [read post]
6 May 2020, 10:53 am
If your organization has not conducted a thorough risk assessment and adopted a formalized information security program containing reasonable safeguards that has considered the threats to its remote workforce, depending on your industry, you are not in regulatory compliance with the applicable standards for safeguarding protected information (e.g., PII, PHI, financial information). [read post]
5 May 2020, 12:08 pm
According to Rockwell’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Rockwell was permanently barred from the securities industry and has been the subject of several customer disputes arising out of his misconduct over the past several years, involving allegations of fraud and misappropriation of customer’s funds. [read post]
4 May 2020, 12:03 pm
Here, we review the other emergency authorities that state and territory executive authorities possess to address the pandemic. [read post]
4 May 2020, 9:33 am
.: The Senate Commerce, Science and Transportation Committee will hold a hearing on the impact of COVID-19 on the aviation industry. [read post]
4 May 2020, 6:39 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Davenport concern allegations over variable annuity sales practices. [read post]
4 May 2020, 5:48 am
Doraine Refused To Cooperate In FINRA’s Investigation The Financial Industry Regulatory Authority (FINRA) has barred former Next Financial broker, Charles Doraine after he refused to give testimony in the self-regulatory organization’s (SRO’s) probe into allegations that he unsuitably recommended Puerto Rico bonds to customers. [read post]
