Search for: "Financial Industry Regulatory Authority"
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29 Jan 2020, 9:26 am
Now the FIO publishes an annual report on the insurance industry, which highlights market developments, emerging issues and legal and regulatory changes. [read post]
29 Jan 2020, 5:00 am
” This unmentioned shift put the FTC’s new orders at odds with its statutory and regulatory authorities. [read post]
28 Jan 2020, 9:58 pm
When originally implemented, the medical records industry generally understood that the Patient Rate limitations applied only to requests for PHI made by the patient for use by the patient. [read post]
28 Jan 2020, 3:02 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), McKinney’s customer complaints alleges that McKinney recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
28 Jan 2020, 3:02 pm
According to BrokerCheck records, Agnihotri is currently registered with The Financial Industry Regulatory Authority (FINRA) member firm SW Financial. [read post]
28 Jan 2020, 1:38 pm
Stamer also has leading edge experience in health benefit, health care, health, financial and other plan, program and process design, administration, documentation, contracting, risk management, compliance and related process and systems development, policy and operations; training; legislative and regulatory affairs, and other legal and operational concerns. [read post]
28 Jan 2020, 10:07 am
According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Gann from working in the securities industry. [read post]
27 Jan 2020, 3:45 pm
Earlier this month, the Financial Industry Regulatory Authority, Inc. [read post]
27 Jan 2020, 1:42 pm
Securities laws and the Financial Industry Regulatory Authority (FINRA) have established standards of care that brokers and brokerage firms are subject to. [read post]
27 Jan 2020, 12:37 pm
In a recent award, a Financial Industry Regulatory Authority (FINRA) arbitration panel has decided that Merrill Lynch must pay a former professional baseball player and his wife $1.7 million in compensatory damages, plus $88,758 in costs, for losses they sustained from investing in Puerto Rico bonds and closed-end bond funds. [read post]
24 Jan 2020, 9:46 am
According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Bracy from working in the securities industry after she allegedly refused to appear for on-the-record testimony as requested by FINRA in connection with its investigation of Bracy’s sale of a Future Income Payments, LLC’s structured cash flow investment, comprised of pension streams. [read post]
24 Jan 2020, 4:10 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Kerry D. [read post]
24 Jan 2020, 3:00 am
While his rivals have disclosed years of financial details on everything from book deals to vacation homes, Bloomberg has not released any financial information since launching a late campaign fueled entirely by his $60 billion in wealth. [read post]
23 Jan 2020, 2:05 pm
FINRA Broker Disciplinary Action Report: January 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]
23 Jan 2020, 1:53 pm
FINRA & SEC Warnings about Cyber-ThreatsAt the Financial Industry Regulatory Authority (FINRA) cyber-security conference in New York, FINRA, the Securities and Exchange Commission (SEC), and the National Futures Association stated that cyber threats on numerous fronts, including but not limited to external phishing and ransom-ware assault and resentful ex-staffs and poor security control have persisted in brokerage firms.Salvator Montemarano, one of the… [read post]
23 Jan 2020, 5:00 am
The Financial Industry Regulatory Authority (FINRA) regulates OTC markets under the supervision of the Securities and Exchange Commission (SEC),[2] meaning in the United States an FTT could include OTC transactions in its base. [read post]
22 Jan 2020, 7:06 am
An enhanced level of IPR protection and enforcement would not only benefit China (as it creates a better regulatory environment for technological advancement and innovation) but also China’s other trading partners especially those having strong technology-intensive industries and firms doing business in China. [read post]
22 Jan 2020, 6:55 am
The finalized measures have also expanded CFIUS’s capacity to regulate real estate, an industry that has largely been outside the body’s purview. [read post]
21 Jan 2020, 12:12 pm
Royal Alliance Reportedly Sanctioned for 2 imprisoned brokers who stole $3.8 million According to the Financial Industry Regulatory Authority (FINRA) this week, Royal Alliance Associates, an independent broker dealer, was censured and fined $400,000 for allegedly failing to catch two former brokers who separately stole more than $3.8 million from the accounts of four customers and are now imprisoned. [read post]
17 Jan 2020, 11:02 am
National Planning Ordered to pay $2.6M to Older Investor A Financial Industry Regulatory Authority (FINRA) panel is ordering National Planning Corp. to pay a customer, who is in her eighties, $2.6M after her former stockbroker, William August Glaser, sold her unsuitable investments. [read post]
