Search for: "Financial Industry Regulatory Authority"
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2 Mar 2020, 11:04 am
In addition to the changes proposed in the 2/06/20 Proposed Rule, in response to President Trump’s July 24, 2020 Executive Order on Improving Price and Quality Transparency in American Healthcare to Put Patients First, HHS on November 14, 2019 also undertook two other regulatory actions intended to increase price transparency to empower patients and increase competition among all hospitals, group health plans and health insurance issuers in the individual and group… [read post]
2 Mar 2020, 7:29 am
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
2 Mar 2020, 5:56 am
Broker-Dealers Accused of Not Properly Supervising Custodial Accounts The Financial Industry Regulatory Authority (FINRA) announced that it has fined five major firms $1.4M in total for not reasonably supervising custodial accounts. [read post]
1 Mar 2020, 5:22 am
FINRA Broker Disciplinary Action Report: February 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 Feb 2020, 3:13 pm
The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) recently issued guidance in connection with firms’ relationships with third-party service providers. [read post]
27 Feb 2020, 9:35 am
British Columbia MSP premiums and EHT implementation This year ushers in various changes that have a financial impact on employers and residents in British Columbia. [read post]
27 Feb 2020, 8:00 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]
27 Feb 2020, 7:59 am
Lowder was also barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. [read post]
27 Feb 2020, 6:27 am
For instance, the Financial Stability Board previously highlighted that no credible resolution plans are currently in place for any of the 13 major CCPs that are systemically relevant in more than one jurisdiction; cross-border cooperation among authorities is not enough. [read post]
26 Feb 2020, 12:12 pm
If passed, this would add physician assistants to the list of professions already exempted from non-competes in Massachusetts, which currently includes physicians, nurses, psychologists, social workers, employees in the broadcast industry, and, of course, lawyers. [read post]
26 Feb 2020, 8:24 am
” According to an award posted last week, a Financial Industry Regulatory Authority panel ordered Stifel Nicolaus to pay $500,000 in compensatory damages to a client after she filed a complaint alleging “unsuitable, unauthorized, and excessive trading. [read post]
26 Feb 2020, 6:38 am
The Financial Industry Regulatory Authority (FINRA) was reportedly investigating allegations into a customer-initiated arbitration against Thurnherr last year. [read post]
26 Feb 2020, 5:28 am
In 2013, Springsteen-Abbott was accused by the Financial Industry Regulatory Authority (FINRA) of misusing about $345K of investor funds to pay for her own expenses. [read post]
25 Feb 2020, 4:17 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
25 Feb 2020, 4:02 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
25 Feb 2020, 8:29 am
In January, the Financial Industry Regulatory Authority (FINRA) announced its top priorities for 2020 in the areas of risk monitoring, surveillance and examination of securities offerings, stock brokerage firms and individual brokers. [read post]
25 Feb 2020, 7:38 am
Now, First Allied Securities is a respondent in this Financial Industry Regulatory Authority (FINRA) arbitration case, which was brought by a customer. [read post]
25 Feb 2020, 7:24 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]
25 Feb 2020, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC (Reid & Rudiger), has been subject to at least six customer complaints and one lien or judgement matters during his career. [read post]
25 Feb 2020, 6:22 am
According to BrokerCheck records, Singh was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Farmers Financial Solutions, LLC (Farmers Financial). [read post]
