Search for: "Financial Industry Regulatory Authority"
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3 May 2020, 10:03 am
According to Krumrey’s CRD Report, published by the Financial Industry Regulatory Authority (“FINRA”), Krumrey was permanently barred from the securities industry and is the subject of several customer disputes arising out of his conduct over the past several years. [read post]
1 May 2020, 10:16 am
In August 2013 and May 2014, the Financial Industry Regulatory Authority, Inc. [read post]
1 May 2020, 7:20 am
On June 14, 2019, the Financial Industry Regulatory Authority (FINRA) reportedly barred Merhoff from associating with any FINRA member at any time. [read post]
1 May 2020, 7:00 am
” In no way can that standard be squared with the authority granted the Fed by Congress to supervise, regulate, suspend operations of, put into and out of receivership banks of all varieties, bank holding companies, and, in a key enlargement of authority prescribed in 2010 by the Dodd-Frank Act, of “systemically important” non-bank financial institutions like securities firms and insurance companies. [read post]
30 Apr 2020, 6:20 am
According to his official record on the Financial Industry Regulatory Authority’s (“FINRA”) website, Kenska has seven “disclosures. [read post]
29 Apr 2020, 11:57 am
Scott represents clients throughout the U.S. and elsewhere in the world in litigation and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the American Arbitration Association (AAA). [read post]
28 Apr 2020, 12:29 pm
According to public records on the Financial Industry Regulatory Authority (FINRA) website on April 27, 2020, the regulator reportedly barred Doraine after he allegedly failed to provide testimony in its investigation into whether Doraine had made unsuitable recommendations to customers resulting in (1) short-term trading in mutual fund A shares; (2) short-term trading of Puerto Rican municipal bonds; and (3) overconcentration of customer accounts in… [read post]
28 Apr 2020, 3:08 am
More concretely, the Roadmap suggests the setting up of single contact points linking testing bodies and national surveillance authorities. [read post]
27 Apr 2020, 9:11 am
FINRA Broker Disciplinary Action Report: April 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]
27 Apr 2020, 8:29 am
James Lamont was suspended in all capacities by the Financial Industry Regulatory Authority (FINRA) on allegations of participating in private securities transaction without the prior approval of his firm and his further refusal to pay the fines awarded against him, according to an investigation by securities lawyer Alan Rosca. [read post]
27 Apr 2020, 8:29 am
James Lamont was suspended in all capacities by the Financial Industry Regulatory Authority (FINRA) on allegations of participating in private securities transaction without the prior approval of his firm and his further refusal to pay the fines awarded against him, according to an investigation by securities lawyer Alan Rosca. [read post]
24 Apr 2020, 9:31 am
These recent investigations demonstrate the current regulatory climate for lease-to-own companies and the heightened scrutiny by federal regulatory authorities, such as the FTC, on the subprime financial marketplace in which the lease-to-own industry operates. [read post]
24 Apr 2020, 5:21 am
Ah yes, the old second bite of the lawsuit apple.2015: FINRA / Arbitration Statement of ClaimIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015, public customer Claima... [read post]
23 Apr 2020, 9:02 pm
John Smirnow, general counsel for Solar Energy Industries Association, responded that the withdrawal would “needlessly increase the financial burden on America’s energy consumers. [read post]
23 Apr 2020, 5:25 pm
Potential and likely ramifications of the Commission’s actions, arguments opponents of the April 16 Orders are likely to raise and potential paths forward for industry market participants are set forth below. [read post]
23 Apr 2020, 7:54 am
Industry Developments SPOTLIGHT: Leaked Pics Reveal Google Smart Debit Card to Rival Apple’sTechCrunch – April 17, 2020 Would you pay with a “Google Card? [read post]
22 Apr 2020, 11:39 am
Investors who have operations and technology capabilities or partnerships will outperform financial investors and win more bids. [read post]
21 Apr 2020, 7:50 pm
What opportunities for advisory, regulatory, and litigation services have arisen with this crisis? [read post]
21 Apr 2020, 9:57 am
The Financial Industry Regulatory Authority (“FINRA”) also stated that it would take the same approach in its examinations of broker-dealers and their associated persons for compliance with Reg BI. [read post]
21 Apr 2020, 8:35 am
It includes risk management function, financial control function, compliance function, internal audit function, actuarial function and any other function specified by the Financial Secretary by notice published in the Gazette. [read post]
