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13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
12 Nov 2019, 2:59 pm
As always, we look forward to bringing details of RCEP and other FTAs to industry, whether in our legal forums for the CBFCA in November and December of 2019 or in February and March 2020 as well as in other presentations and in print. [read post]
12 Nov 2019, 11:08 am
Event Announcements (More details on the Events Calendar) Wednesday, November 13, 2019, at 10:00 a.m.: The House Permanent Select Committee will hold the first public hearing of the impeachment inquiry. [read post]
12 Nov 2019, 10:35 am
According to the Financial Industry Regulatory Authority on November 11, the regulator has reportedly barred financial advisor Jun Zhou from associating with any FINRA member at any time for allegedly participating in 27 private securities transactions, with sales of $16,050,000 and selling compensation of $199,000, reportedly without providing written notice to, or receiving approval from, her Firm. [read post]
12 Nov 2019, 5:15 am
As we told you in March, Matthes was barred from acting as a broker or financial advisor in any capacity, according to the Financial Industry Regulatory Authority. [read post]
11 Nov 2019, 1:13 pm
Deputy Director Johnson began the discussion by acknowledging that the CFPB’s scope of authority is not well-defined given its relatively recent creation. [read post]
11 Nov 2019, 8:52 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
11 Nov 2019, 4:36 am
Daniel Gordon Maughan, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of churning and excessive trading of a customer’s trust account, which was in violation of Section 10(b) of the Exchange Act and FINRA Rule 2020, according to an investigation by investor rights attorney, Alan Rosca. [read post]
11 Nov 2019, 4:36 am
Daniel Gordon Maughan, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of churning and excessive trading of a customer’s trust account, which was in violation of Section 10(b) of the Exchange Act and FINRA Rule 2020, according to an investigation by investor rights attorney, Alan Rosca. [read post]
8 Nov 2019, 12:19 pm
Merrill Lynch & Raymond James Sanctioned for Alleged 529 Plan Violations According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, Raymond James & Associates and Raymond James Financial Services have reportedly agreed to pay a combined $12 million in restitution to customers for alleged 529 savings plan violations. [read post]
8 Nov 2019, 8:39 am
The Financial Industry Regulatory Authority has also sanctioned certain broker dealers for unsuitable sales of certain ETNs to retail customers. [read post]
8 Nov 2019, 8:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4903/securities-industry-commentator/Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests (Speech by SEC Chairman Jay Clayton, University of Pennsylvania Distinguished Jurist Lecture)California Man Indicted in $300 Million Nationwide Investment Fraud and Ponzi… [read post]
8 Nov 2019, 7:50 am
Toni Caiazzo Neff, an ex-Financial Industry Regulatory Authority (FINRA) examiner, spoke about how she’d previously tried to blow the whistle on GPB Capital Holdings. [read post]
7 Nov 2019, 6:51 pm
ASIC calls time on disclosure reliance On 14 October 2019, ASIC released joint Report 632 with the Dutch Authority for Financial Markets (AFM) assessing the effectiveness of disclosure for financial products on consumer outcomes. [read post]
7 Nov 2019, 10:29 am
According to public records, the Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Greg McKinney alleging that he failed to comply with FINRA requests for information, documents and on-the-record testimony in connection with an investigation of him for possible alleged violations of FINRA rules. [read post]
7 Nov 2019, 5:00 am
On key issues—including intermediary liability, data localization and e-commerce—the government has rolled out a patchwork of regulatory policies, resulting in battle lines being drawn by governments, industry and civil society actors both in India and across the globe. [read post]
7 Nov 2019, 4:45 am
Free Consultation with a Securities Attorney Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment prior to recommending the investment. [read post]
6 Nov 2019, 1:19 pm
The appeals court found that the Financial Industry Regulatory Authority (FINRA) panel acted unreasonably when it refused to delay the rest of the arbitration proceedings after the firm’s ex-financial analyst, Bradley Sayre, and his lawyer both had medical emergencies. [read post]
6 Nov 2019, 7:36 am
Since the introduction of the new breach reporting regime, the DPC’s Breach Assessment Unit has undertaken an analysis of breach notifications received from areas within the public and private sector, including those notified by: the financial sector; the insurance sector; the telecommunications industry; the healthcare industry; and law enforcement. [read post]
