Search for: "Financial Industry Regulatory Authority"
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17 Oct 2019, 7:00 am
Securities and Exchange Commission 19-343Issues: (1) Whether Rule 2030 – which regulates the political contributions of those members of the Financial Industry Regulatory Authority who act as “placement agents” – violates the First Amendment by (a) imposing different contribution limits on candidates running for the same office, and/or (b) restricting otherwise lawful political activity despite the Security and Exchange Commission’s… [read post]
16 Oct 2019, 10:38 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Peggs concerns allegations over several different investment products including equities, options, and variable annuity sales practices. [read post]
16 Oct 2019, 10:38 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]
15 Oct 2019, 4:13 pm
FINRA Broker Disciplinary Action Report: October 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]
15 Oct 2019, 4:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Trevor Rahn (Rahn), formerly associated with J.P. [read post]
14 Oct 2019, 11:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kajouras’ customer complaints alleges that Kajouras recommended unsuitable investments, negligence, fraud, misrepresentations, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
14 Oct 2019, 11:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Clark has three customer complaints, one bankruptcy disclosure, and one regulatory action. [read post]
14 Oct 2019, 11:15 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Klinger from working in the securities industry after he allegedly refused to provide documents and information related to the purported termination explanation provided in his Form U5. [read post]
14 Oct 2019, 8:22 am
For self-regulation to work, Sexton said SROs need the following characteristics: Mandatory membership, so that firms the most in need of self-regulation do not simply evade it;Recognition by industry leaders that strong self-regulation is in the industry’s long-term best interest;A board and committee structure that ensures that no one industry sector dominates;Commitment by the SRO’s senior management to the ideals of self-regulation;Rulemaking and… [read post]
14 Oct 2019, 7:40 am
Also, the Commission seeks industry input whether the de minimis threshold for commodity benchmarks is appropriately set. [read post]
Gurpreet Chandhoke and Stephen Shea Subject to Regulatory Action Over VII Peaks Capital Transactions
12 Oct 2019, 8:59 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisors Gurpreet Chandhoke (Chandhoke) and Stephen Shea (Shea) are subject to a complaint filed by The Financial Industry Regulatory Authority (FINRA) concerning their actions selling VII Peaks Capital to investors. [read post]
12 Oct 2019, 8:04 am
According to BrokerCheck records, Stow is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James & Associates, Inc. [read post]
11 Oct 2019, 4:54 pm
The UK Competition and Markets Authority is also carrying out a market study into online platforms and the digital advertising industry. [read post]
11 Oct 2019, 6:32 am
In addition to the draft rules, the AG’s office also published a “CCPA Fact Sheet” and the “Initial Statement of Reasons,” which also provide insights as to the regulatory focus and enforcement priorities. [read post]
11 Oct 2019, 5:09 am
(PFS Investments) was subject to a regulatory investigation according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
11 Oct 2019, 5:08 am
Montes, formerly registered with Morgan Stanley was subject to a regulatory investigation according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
10 Oct 2019, 9:05 pm
” President Trump ordered U.S. immigration authorities to deny entry to immigrants who “financially burden the United States healthcare system. [read post]
10 Oct 2019, 9:30 am
FINRA Award: Customer Complaint against Stifel Nicolaus for Alleged supervisory failures According to public records posted last week, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel Nicolaus to pay $1.5 million to three Baltimore, MD customers who alleged the firm failed to properly supervise a broker who sold them biotechnology and healthcare stocks. [read post]
10 Oct 2019, 7:28 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]
10 Oct 2019, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Marino’s customer complaints alleges that Marino recommended unsuitable securities recommendations among other allegations of misconduct relating to the handling of their accounts. [read post]
