Search for: "Financial Industry Regulatory Authority"
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17 Apr 2020, 7:55 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
16 Apr 2020, 9:05 pm
FLASHBACK FRIDAY In a 2018 essay for The Regulatory Review, Nicholas Bellos presented an argument for financial regulators and the U.S. [read post]
16 Apr 2020, 4:47 pm
Additionally, the Modification authorizes the use of remote notarization subject to certain restrictions. [read post]
16 Apr 2020, 12:37 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), McHale’s customer complaints alleges that McHale recommended unsuitable investments in various investments including allegations of concentrations in biotech stocks and low cap stocks among other allegations of misconduct relating to the handling of their accounts. [read post]
16 Apr 2020, 12:37 pm
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
16 Apr 2020, 11:54 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]
16 Apr 2020, 7:25 am
In this podcast, we are joined by Richard Cordray, former CFPB Director, and John Roddy, prominent plaintiffs’ class action lawyer, for a discussion of regulatory and litigation risks the crisis is expected to create for the consumer financial services industry. [read post]
16 Apr 2020, 4:55 am
As we continue through 2020, we have put together this update and checklist to help managers stay on top of the business and regulatory landscape in consideration of the global pandemic affecting nearly every aspect of the industry and our lives. [read post]
15 Apr 2020, 3:16 pm
Investigations by other government entities regulating financial services companies, such as the Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC), and similar agencies, investigating alleged unsafe or unsound business practices, claims of public fraud, or other breach of fiduciary duties by regulated entities and licensed individuals operating in sub-optimal conditions as a result of COVID-19. [read post]
15 Apr 2020, 12:44 pm
According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator suspended financial advisor Alfred Kai Kwong Chan for six months and fined him $10,000 after he allegedly sold indexed annuities with an approximate value of $2.5 million through an outside business activity without properly disclosing the sales or his compensation from the sales to his member firm. [read post]
15 Apr 2020, 8:56 am
Securities industry rules, enforced by the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc., require that brokerages and investment advisors must make fair and balanced disclosures to clients. [read post]
15 Apr 2020, 6:50 am
government regulatory agency created in 1974 to regulate futures trading. [read post]
14 Apr 2020, 1:11 pm
FINRA Pandemic-Related BCP, Guidance and Regulatory Relief, Relating to Regulatory Filings, “Work from Home”, Cybersecurity, and Forms U4 and BR. [read post]
14 Apr 2020, 7:28 am
According to the Financial Industry Regulatory Authority on April 13, 2020, the regulator has barred Euler after he reportedly refused to provide information in its investigation into whether Euler made unsuitable recommendations to his clients. [read post]
14 Apr 2020, 7:04 am
The Financial Industry Regulatory Authority (FINRA) is the principal forum for these arbitrations. [read post]
14 Apr 2020, 6:55 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
14 Apr 2020, 6:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roark has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including energy related investments like master limited partnerships (MLPs). [read post]
13 Apr 2020, 11:29 am
., signed a Financial Industry Regulatory Authority (“FINRA”) Letter of Acceptance, Waiver and Consent, agreeing to a fine of $5,000 and 30 day suspension for using WhatsApp Messenger to “conduct securities-related business with three Firm customers. [read post]
13 Apr 2020, 10:59 am
Flower, SW Financial, Melville, NY Advisor James Flower Reportedly Under Investigation for Churning Allegations According to the Financial Industry Regulatory Authority (FINRA), FINRA’s Department of Enforcement has alleged that between January 1, 2016 and July 31, 2018 Respondent James W. [read post]
13 Apr 2020, 10:35 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
