Search for: "Financial Industry Regulatory Authority"
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19 Sep 2016, 7:35 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Thomas Braley (Braley). [read post]
21 Jun 2017, 8:50 am
The securities lawyers of Gana LLP are investigating customer complaints and a FINRA enforcement action with The Financial Industry Regulatory Authority’s (FINRA) against broker Henry Watson (Watson). [read post]
19 Sep 2016, 7:35 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Thomas Braley (Braley). [read post]
18 Aug 2015, 10:52 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
15 Aug 2018, 5:28 am
Broker-dealers should be aware that in 2017 the Financial Industry Regulatory Authority announced the approval of modifications to two rules – Rules 203 and 458, imposing similar prohibitions and limitations on capital acquisition brokers (“CABs”). [read post]
2 Feb 2023, 6:48 pm
Most recently, this involved two securities fraud claims submitted in Financial Industry Regulatory Authority (FINRA) arbitration on behalf of: Continue Reading › The post GWG Investor Loss Attorneys appeared first on Investor Lawyers Blog. [read post]
5 Feb 2021, 6:49 am
The attorneys in Ballard Spahr’s Consumer Financial Services Group, including attorneys in the firm’s Los Angeles, California office, are closely monitoring all regulatory, supervisory, and enforcement developments relating to the DFPI’s implementation and exercise of its new jurisdiction and authorities. [read post]
18 Nov 2019, 11:49 am
Vincent Mazza Barred by the Financial Industry Regulatory Authority According to his FINRA Brokercheck page, Vincent Mazza was alleged to have failed to respond to FINRA’s request for information, and as a result, he was barred indefinitely in all capacities. [read post]
18 Nov 2019, 11:49 am
Vincent Mazza Barred by the Financial Industry Regulatory Authority According to his FINRA Brokercheck page, Vincent Mazza was alleged to have failed to respond to FINRA’s request for information, and as a result, he was barred indefinitely in all capacities. [read post]
21 Feb 2023, 9:44 am
Laidlaw & Company Reportedly Sanctioned for Failure to Supervise, other Regulatory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Laidlaw & Company LTD $200,000 after a cycle examination of the firm. [read post]
17 Sep 2018, 9:17 am
The regulatory sandbox model has been deployed in other areas, particularly in the financial services sector (see here), including by the Financial Conduct Authority in the UK (see here). [read post]
3 Jul 2018, 11:52 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against George Oldoerp (Oldoerp). [read post]
18 Jan 2011, 3:24 pm
The new Chair of the Oversight Subcommittee of the House Financial Services Committee also also seeks more transparency regarding Bureau staffs’ meetings with financial industry executives and interactions with the SEC and Fed. [read post]
21 May 2024, 9:04 am
He refers to the 2022 Machine Learning (ML) survey conducted by the BoE and Financial Conduct Authority which showed that 72% of financial services respondents reported using or developing ML applications. [read post]
10 Oct 2019, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Marino’s customer complaints alleges that Marino recommended unsuitable securities recommendations among other allegations of misconduct relating to the handling of their accounts. [read post]
19 Nov 2009, 6:26 am
The legislative season for financial regulatory reform is now in full swing. [read post]
21 Mar 2018, 8:17 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Thomas Meier, a former Morgan Stanley broker, violated securities laws. [read post]
22 Jan 2023, 9:01 pm
Although the proposed rules do not impose industry-specific requirements, certain areas would have a particularly significant impact on financial institutions. [read post]
15 Dec 2020, 8:09 am
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking down on excessive trading thanks to “greater enforcement flexibility provided by Regulation Best Interest,” according to an article in Financial Advisor IQ last week. [read post]
29 Aug 2018, 9:18 am
Tucker was permanently barred from the industry by the Financial Institute Regulatory Authority (“FINRA”). [read post]
