Search for: "Financial Industry Regulatory Authority"
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4 Feb 2020, 8:12 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Nakamura’s customer complaints allege that Nakamura recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
4 Feb 2020, 7:30 am
More specifically, and arising from long practice, the financial services sector. [read post]
4 Feb 2020, 7:04 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
4 Feb 2020, 7:00 am
Gann, who is not a registered broker at this time, is serving a three-month suspension imposed by the Financial Industry Regulatory Authority (FINRA). [read post]
3 Feb 2020, 12:53 pm
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has suspended and fined Wills after he allegedly borrowed $150,000 from a 90-year-old customer in violation of his member firm’s procedures. [read post]
3 Feb 2020, 12:42 pm
The task force will hear testimony from Eric Fanning, the president and CEO of Aerospace Industries Association; Raj Shah, the chairman and co-founder of Arceo.ai; and Chris Brose, the chief strategy officer of Anduril Industries. [read post]
3 Feb 2020, 8:21 am
In addition to her public and regulatory policy involvement, Ms. [read post]
3 Feb 2020, 7:05 am
The Financial Industry Regulatory Authority (FINRA) and the Wisconsin Department of Financial Institutions Securities Division have both permanently barred him. [read post]
3 Feb 2020, 6:53 am
According to BrokerCheck records, Eaton was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Commonwealth Financial Network (CommonWealth Financial). [read post]
3 Feb 2020, 6:53 am
Advisor Kenneth Guerra (Guerra), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints, one financial disclosure, and one regulatory violation during the course of his career. [read post]
2 Feb 2020, 4:49 pm
Subjecting non-centrally cleared OTC derivatives to higher transaction costs will also incentivise parties to use central clearing (enabling greater transparency and regulatory oversight) which is one of the primary objectives of these proposals. [read post]
2 Feb 2020, 6:49 am
The 2020 Priorities address the following eight themes: (1) retail investors, including seniors and those saving for retirement; (2) focus areas involving registered investment advisers and investment companies; (3) information security; (4) financial technology and innovation, including digital assets and electronic investment advice; (5) focus areas involving broker-dealers and municipal advisors; (6) anti-money laundering (“AML”) programs for broker-dealers and investment… [read post]
31 Jan 2020, 11:13 am
According to BrokerCheck records, Genito was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm PFS Investments Inc. [read post]
31 Jan 2020, 11:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Weber’s customer complaints alleges that Weber recommended unsuitable investments in options among other allegations of misconduct relating to the handling of their accounts. [read post]
31 Jan 2020, 3:00 am
Their relationship has raised concerns about a conflict-of-interest because Cook sits on committees central to the industry Knorr represents. [read post]
30 Jan 2020, 7:57 am
A few months later, the Financial Industry Regulatory Authority (FINRA) suspended Owens for a year, through August 2020, for the same reasons. [read post]
30 Jan 2020, 7:57 am
” FINRA (the Financial Industry Regulatory Authority) says that its proposed rule would protect investors by reducing the potential for financial exploitation. [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2020, 2:00 am
With a background screening partner that continuously monitors the regulatory background check landscape for your industry, you can stay educated and informed about: New laws that require changes to your application, interview, or hiring process Location-specific delays that will impact the timing of criminal background searches Updates to required disclosure and authorization forms 3. [read post]
