Search for: "Financial Industry Regulatory Authority"
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27 Dec 2019, 11:12 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]
26 Dec 2019, 9:05 pm
The rule would require over 3 million SNAP recipients to meet independent financial eligibility standards. [read post]
26 Dec 2019, 9:03 am
According to BrokerCheck records, Zhou is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm The Leaders Group. [read post]
26 Dec 2019, 9:02 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]
26 Dec 2019, 7:53 am
Hoffman was barred by the Financial Industry Regulatory Authority (FINRA) in 2017 and the Indiana Securities Division in 2018. [read post]
26 Dec 2019, 5:00 am
Among its other provisions, the ILLICIT CASH Act would require law enforcement to coordinate with financial regulatory agencies and provide updates to financial institutions on suspicious activity reports filed by those institutions. [read post]
25 Dec 2019, 9:06 pm
The Regulatory Review is pleased to highlight the top essays from 2019 authored by our staff contributors. [read post]
24 Dec 2019, 9:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Katherine Nishnic (Nishnic), currently associated with Centaurus Financial, Inc. [read post]
24 Dec 2019, 9:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Albert Foronda (Foronda), currently associated with Spartan Capital Securities, LLC (Spartan Capital), has been subject to at least three customer complaints and one regulatory investigation during his career. [read post]
24 Dec 2019, 5:13 am
Lek Securities Accused of Enabling Manipulative Trading The Financial Industry Regulatory Authority (FINRA) and most major US securities exchanges have permanently barred broker Samuel Lek, who is also the former CEO of Lek Securities. [read post]
22 Dec 2019, 9:17 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]
19 Dec 2019, 1:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Davidman’s customer complaint alleges that Davidman recommended unsuitable investments in a variety of investment products including bonds among other allegations of misconduct relating to the handling of their accounts. [read post]
19 Dec 2019, 10:13 am
FINRA Broker Disciplinary Action Report: December 2019Each 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]
19 Dec 2019, 10:09 am
Public blockchain, the underlying technology upon which bitcoin was built, is a decentralized peer-to-peer network that is powered by its users and free from central authority. [read post]
19 Dec 2019, 1:31 am
Timothy Edward Johnson, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of his failure to respond to FINRA’s request for information which is a violation of FINRA Rule 8210, according to an investigation by investor rights attorney, Alan Rosca. [read post]
19 Dec 2019, 1:31 am
Timothy Edward Johnson, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of his failure to respond to FINRA’s request for information which is a violation of FINRA Rule 8210, according to an investigation by investor rights attorney, Alan Rosca. [read post]
19 Dec 2019, 12:57 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 iss... [read post]
18 Dec 2019, 1:45 pm
FINRA: SUITABILITY AND SALES PRACTICES ISSUES LINGERFinancial Industry Regulatory Authority Inc (FINRA) released its “2019 Report on Examination Findings and Observations”, in October 2019. [read post]
18 Dec 2019, 10:03 am
Depending on the computer system used, DOJ claims Omnicare also sometimes assigned a fake number of authorized refills to a prescription – usually 99 allowable refills for Medicare patients – to allow for continuous refilling. [read post]
18 Dec 2019, 5:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Westenbarger’s customer complaint alleges that Westenbarger recommended unsuitable investments in a variety of investment products including alternative investments, non-traded REITs, variable annuities, corporate notes, and UITs among other allegations of misconduct relating to the handling of their accounts. [read post]
