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12 Feb 2020, 10:00 am
In 2010, on the heels of the Great Recession, Congress created the Consumer Financial Protection Bureau to address the “serious structural flaws” of the financial regulatory system then in place to protect consumers, “including a lack of focus resulting from conflicting regulatory missions, fragmentation, and regulatory arbitrage. [read post]
12 Feb 2020, 7:23 am
Ranking Member Andy Barr (R-Ky), scoffed that the hearing was a "thinly veiled attempt to slow the regulatory process" because the majority party does not like "the regulators who are writing the rules. [read post]
12 Feb 2020, 7:05 am
Not only unifying the necessary regulatory functions, but also establishing a central contact point for cannabis licensees and local governments. [read post]
11 Feb 2020, 7:16 pm
APRA publishes submission on Fintech and Regtech APRA published on 21 January 2020 its submission responding to the Senate Select Committee on Financial Technology and Regulatory Technology’s Issues Paper. [read post]
11 Feb 2020, 11:20 am
Financial Advisor Jeffrey Nimmow, Forest Securities in Hillside, IL The Financial Industry Regulatory Authority (FINRA) Reportedly Bars Jeffrey Nimmow for Allegations of Sales of Unregistered Woodbridge Notes. [read post]
11 Feb 2020, 7:31 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]
11 Feb 2020, 7:30 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]
10 Feb 2020, 10:55 am
However, states differ as to whether commercial automobile programs may satisfy the financial responsibility requirements of their on-duty drivers through the surplus lines market when such states have not otherwise granted express authority to do so, such as in the TNC context. [read post]
10 Feb 2020, 7:37 am
Diaz was however banned from the Securities industry in 2015 by the Financial Industry Regulatory Authority Inc. [read post]
7 Feb 2020, 1:29 pm
Last week, the Financial Industry Regulatory Authority (FINRA) censured and assessed a fine of $50,000 against a national investment firm, Paulson Investment Company LLC, in connection with its sale and solicitation of private placement offerings to investors, in violation of Rule 506 of Regulation D and Section 5 of the Securities Act of 1933. [read post]
7 Feb 2020, 11:41 am
According to BrokerCheck records, Armstrong was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James Financial Services, Inc (Raymond James). [read post]
7 Feb 2020, 8:21 am
In August 2019, we published an update noting that the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Federal Bureau of Investigation (FBI) were all looking into GPB Capital’s private placements, and we provided a timeline of the events that had transpired to date. [read post]
7 Feb 2020, 8:03 am
According to public records on the Financial Industry Regulatory Authority’s website, on January 17, 2019, Oregon Division of Financial Regulation reportedly barred Shean after allegations of “misappropriation of funds totaling $124,402.83 from an elderly client’s account; six unauthorized transactions; engaged in a manipulative, deceptive, or other fraudulent act or practice; engaged in dishonest, fraudulent or illegal practices or… [read post]
6 Feb 2020, 1:08 pm
Stoltmann Law Offices has been following the Justice Department’s case against former Ameriprise Financial advisor Yilin Hsu Lee, a/k/a Li Lin Hsu, since 2016 when she was barred by the Financial Industry Regulatory Authority (FINRA). [read post]
6 Feb 2020, 8:52 am
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has reportedly barred Puente on January 29, 2020 after he purportedly refused to provide information for FINRA’s investigation into his alleged undisclosed outside business activities and/or private securities transactions while associated with a member firm. [read post]
5 Feb 2020, 7:52 am
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has reportedly barred Evan on January 22, 2020 after he purportedly refused to provide information for FINRA’s investigation into his alleged termination from his member firm. [read post]
5 Feb 2020, 7:51 am
Kerry Dean Wills, who is also a registered investment advisor, was recently suspended for six months by the Financial Industry Regulatory Authority (FINRA) and ordered to pay a $10K fine over allegations of elder investment fraud. [read post]
Main Street, gadflies, and corporate democracy: a first look at comments on the SEC’s proxy proposal
5 Feb 2020, 6:45 am
Comments from securities industry groups are noticeably absent, at least in name, from the proposal on shareholder proposals, while some industry groups did weigh in on the proxy advisers proposal.The proxy proposals in brief. [read post]
4 Feb 2020, 5:49 pm
The authors would like to thank Ji En Lee, associate at Ascendant Legal LCC, for his contribution to this article. [read post]
4 Feb 2020, 8:12 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mazza’s customer complaints alleges that Mazza recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
