Search for: "Financial Industry Regulatory Authority"
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1 Nov 2019, 1:19 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
1 Nov 2019, 7:30 am
Fortress Biotech, Securities Investigation, JMP Securities, New York, NY According to public records on October 30, the Financial Industry Regulatory Authority (FINRA) reportedly suspended and fined a JMP Securities analyst $20,000 for an alleged conflict of interest. [read post]
1 Nov 2019, 3:00 am
A recent bill cemented the industry’s power, allowing manufacturers to challenge regulators over safety disputes and making it difficult for the government to usurp companies’ authority. [read post]
31 Oct 2019, 9:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred Stuart Nichols, a former broker with the firm, after he failed to participate in the self-regulatory authority’s probe into churning allegations made against him. [read post]
31 Oct 2019, 8:06 am
Jake van der Laan, the director and chief information officer of the Information Technology and Regulatory Informatics Division at the Financial and Consumer Services Commission in New Brunswick, Canada moderated the panel. [read post]
31 Oct 2019, 6:20 am
On October 25, an all-public Financial Industry Regulatory Authority Inc. panel reportedly ruled that Raymond James was liable for transactions allegedly conducted by former financial advisor James Edward Lyons (Eddie Lyons), who was reportedly barred last year from the securities industry. [read post]
30 Oct 2019, 4:56 pm
Financial Conduct Authority in August 2018. [read post]
30 Oct 2019, 4:56 am
Newbridge Securities in Boca Raton, a Florida-based broker-dealer, is censured by the Financial Industry Regulatory Authority (FINRA) and has been fined $225K over its purported failure to adequately supervise the sale of exchange-traded funds, structured notes, and other complex securities. [read post]
29 Oct 2019, 10:56 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
29 Oct 2019, 8:56 am
Last week, a New York City panel of arbitrators with the Financial Industry Regulatory Authority (FINRA) unanimously awarded an investor represented by Malecki Law over $200,000 in damages, plus attorneys’ fees of $67,000 and 5% interest dating back to May 2018. [read post]
29 Oct 2019, 7:22 am
The North Carolina-based broker-dealer was recently fined $60K and censured by the Financial Industry Regulatory Authority (FINRA) after allowing its ex-co founder, president, CCO and CEO Patrick Emanuel Sutherland, to continue to have access to its email, other systems, records, and books, as well as engage in activities on its behalf, even after he was found guilty of multiple felonies in 2016. [read post]
29 Oct 2019, 1:03 am
Using her experience as Senior Legal Counsel at River Island, Giulia compared a variety of technical solutions on offer to the fashion and legal industry, whilst also analysing the regulatory framework impacting these solutions.Again, like her fellow co-founders, Giulia offered a highly practical and extremely innovative analysis of the technological solutions available to the fashion industry. [read post]
28 Oct 2019, 4:51 pm
” However, the Report notes that, in light of Brexit, the financial industry of the UK will face a number of hurdles in relation to the provision of services to EU based customers. [read post]
28 Oct 2019, 1:07 pm
Information required from authors: one-page abstract, one-page CV, including affiliations and main publications, indication whether full paper or talk is intended; indication of need for travel support. [read post]
28 Oct 2019, 12:21 pm
Financial Industry Regulatory Authority (FINRA) has fined former Texas broker Steven Yellen $25K for allegedly making unauthorized trades while he was a registered representative for both Ameriprise (AMP) and Morgan Stanley (MS). [read post]
28 Oct 2019, 12:11 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
28 Oct 2019, 10:19 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
25 Oct 2019, 9:31 am
According to the Financial Industry Regulatory Authority, on October 22, the regulator fined financial advisor Steven T. [read post]
23 Oct 2019, 5:14 pm
Considered together, these and other consequences of HIPAA vioations or other sloppy dealings with protected health inforamtion or ther sensitive health care or financial information make a clear case for investing appropriately in HIPAA and related compliance. [read post]
23 Oct 2019, 11:31 am
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]
