Search for: "Financial Industry Regulatory Authority"
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10 Jan 2020, 6:53 am
A lower, first-tier, civil penalty was imposed in light of Alpine's financial condition. [read post]
10 Jan 2020, 3:00 am
Tea Party groups and Trump have long run on reining in the influence of special interests and Tea Party lawmakers often clashed with the influence world and a number of prominent industries in high-profile fights. [read post]
9 Jan 2020, 12:43 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
9 Jan 2020, 7:53 am
Infrastructure Leasing & Financial Services Ltd. [read post]
9 Jan 2020, 7:31 am
According to allegations in a recent Financial Industry Regulatory Authority Inc. [read post]
8 Jan 2020, 2:50 pm
New York State Department of Financial Services In the same spirit, on December 23, 2019, the New York State Department of Financial Services (“NYDFS”) issued an industry letter requesting that all the institutions that it regulates submit transition plans to the NYDFS addressing their LIBOR exposure. [read post]
8 Jan 2020, 11:31 am
Anti-Money Laundering AML is a repeat priority for OCIE as it is for all regulators in the financial industry regulatory space. [read post]
8 Jan 2020, 11:31 am
Anti-Money Laundering AML is a repeat priority for OCIE as it is for all regulators in the financial industry regulatory space. [read post]
8 Jan 2020, 10:00 am
FINRA FINES 5 BIG FIRMS FOR ‘KNOW YOUR CUSTOMER’ FAILURESThe Financial Industry Regulatory Authority (FINRA) sanctioned Citigroup Global Markets, J.P. [read post]
8 Jan 2020, 9:00 am
CBD based on industrial hemp were legalized by the Farm Bill at the federal level. [read post]
7 Jan 2020, 2:17 pm
According to the Financial Industry Regulatory Authority, Cindy Chiellini currently has thirty (30) customer disputes on her broker record for similar allegations. [read post]
7 Jan 2020, 10:21 am
FINRA and MSRB – OCIE will continue its oversight of the Financial Industry Regulatory Authority by focusing examinations on FINRA’s operations, regulatory programs, and the quality of FINRA’s examinations of broker-dealers and municipal advisors. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment… [read post]
7 Jan 2020, 9:09 am
Roger Owens (CRD# 2359204), a broker previously employed by Cetera Advisors LLC in Elkton, Maryland, has been suspended by the Financial Industry Regulatory Authority (FINRA) from acting as a broker. [read post]
7 Jan 2020, 8:48 am
Rule 8210 allows the Financial Industry Regulatory Authority (FINRA) to demand documents, information or testimony from broker-dealers or employees. [read post]
7 Jan 2020, 8:48 am
Mantei’s Regulatory Issues Mantei was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint alleging that he violated FINRA Rules and circumvented his own firm’s supervisory system while recommending and selling structured certificates of deposit (structured CDs). [read post]
7 Jan 2020, 8:30 am
The customer disputes allege the following misconduct: March 2017 – False and misleading assurances and unsuitable recommendations February 2018 – Misrepresentation, promissory statements and unsuitable recommendation April 2018 – Misrepresentations and promissory statements in regard to a private placement that was not suitable for the investors April 2018 – Misrepresentation, promissory statements and unsuitable recommendation December 2018 – Material misstatements,… [read post]
7 Jan 2020, 8:13 am
Turner & Company, a firm that has since been shut down due to numerous regulatory problems. [read post]
7 Jan 2020, 8:00 am
Approximately one year ago a customer lodged a dispute with the Financial Industry Regulatory Authority (FINRA) against broker Jeanpierre Ayala (a/k/a J.P. [read post]
