Search for: "Financial Industry Regulatory Authority"
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13 Apr 2020, 9:52 am
According to securities industry rules and regulations, breach of fiduciary duty, unsuitable investment advice, variable annuity switching, securities concentration, fraudulent misrepresentations and omissions of material facts, and conflicts of interest, are among the causes of action that may be available to investors in securities arbitration claims against brokerage firms with the Financial Industry Regulatory Authority (FINRA). [read post]
13 Apr 2020, 8:23 am
FINRA Broker Disciplinary Action Report: March 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]
12 Apr 2020, 7:27 am
Puente was barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. [read post]
12 Apr 2020, 7:10 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]
12 Apr 2020, 6:03 am
According to Von der Leyen, the EU is in discussion with the pharmaceutical industry to ensure a vaccine can be distributed fast as soon as it is available. [read post]
9 Apr 2020, 9:05 pm
Redfield explained that these measures are necessary to prevent worker shortages in critical industries. [read post]
9 Apr 2020, 4:38 pm
However the NYBCL does not expressly authorize virtual-only meetings. [read post]
9 Apr 2020, 3:40 pm
At this time, companies are still required to make all required electronic filings with the NAIC (e.g., quarterly financial statements, audited financial statements). [read post]
9 Apr 2020, 9:00 am
As the pandemic of COVID19 spreads to every parts of the world, most recently the African continent, competition authorities are looking at whether relaxing their competition rules to allow for cooperation between key actors of the health sector and other essential economic sectors, like the airline industry. [read post]
9 Apr 2020, 5:57 am
FINRA Bars Fired Stifel Broker The Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred former Stifel Nicolaus (SF) stockbroker Steven Dale Rodemer. [read post]
8 Apr 2020, 9:00 pm
Our colleagues in the investment management practice have prepared a chart that summarizes the available relief provided by the US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association from certain regulatory requirements. [read post]
8 Apr 2020, 11:20 am
Essential Services Joined with the National Association of Regulatory Utility Commissioners (“NARUC”) in urging all state authorities to designate utility workers as essential to the nation’s critical infrastructure. [read post]
8 Apr 2020, 11:16 am
According to public records on the Financial Industry Regulatory Authority’s website, on April 8, New allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into his potential alleged participation in undisclosed private securities transactions and outside business activities. [read post]
8 Apr 2020, 6:58 am
The Innovation Hub is open to all financial sector innovators, whether from a start-up, an established fintech firm, an incumbent financial service provider or an adjacent industry entering the financial services market (such as retail or telecommunications). [read post]
7 Apr 2020, 11:49 am
Preferred Stock and Preferred LLC Units (Convertible or Not) An SMB considering the issuance of preferred stock or preferred LLC units should first verify that the issuance of such equity is authorized under its organizational documents and, if necessary, execute appropriate documents authorizing such issuance. [read post]
7 Apr 2020, 11:49 am
Preferred Stock and Preferred LLC Units (Convertible or Not) An SMB considering the issuance of preferred stock or preferred LLC units should first verify that the issuance of such equity is authorized under its organizational documents and, if necessary, execute appropriate documents authorizing such issuance. [read post]
7 Apr 2020, 11:38 am
Our webinar yesterday, “Consumer Financial Regulatory and Litigation Fallout from the COVID-19 Crisis,” in which we were joined by special guest speakers Richard Cordray, former CFPB Director, and John Roddy, Partner at Bailey & Glasser and prominent plaintiffs’ class action lawyer, highlighted the regulatory and litigation risks the crisis is expected to create for members of the consumer financial services industry. [read post]
7 Apr 2020, 11:29 am
As found in his Financial Industry Regulatory Authority (FINRA) Brokercheck Report, three of his customer disputes are pending and two appear as ‘denied. [read post]
7 Apr 2020, 11:29 am
As found in his Financial Industry Regulatory Authority (FINRA) Brokercheck Report, three of his customer disputes are pending and two appear as ‘denied. [read post]
7 Apr 2020, 7:09 am
The legal and regulatory landscape is in constant flux and a lot of questions are arising from our clients. [read post]
