Search for: "Financial Industry Regulatory Authority"
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20 Sep 2016, 11:25 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Robert Beck (Beck). [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]
16 Jan 2017, 6:47 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser). [read post]
30 Jan 2017, 6:16 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Joseph Likens (Likens). [read post]
4 Mar 2022, 12:11 pm
Our broad, interdisciplinary Education Industry Group recognizes that the legislative and regulatory environment presents challenges that require focused, client-specific solutions. [read post]
3 May 2019, 2:05 pm
An investor in GPB Capital has filed a Financial Industry Regulatory Authority (FINRA) Claim against Arkadios Capital and one of its brokers over losses she sustained to her IRA after she followed the financial adviser’s recommendation to invest in GPB Capital Holdings. [read post]
24 Nov 2010, 5:07 pm
EU Commissioner for the Internal Market Michel Barnier had assured US officials that the EU would work towards non-discriminatory hedge fund and private equity fund regulatory legislation. [read post]
20 Feb 2020, 10:06 am
According to The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Schreiner after he allegedly refused to provide testimony in its investigation. [read post]
29 Mar 2018, 7:00 am
The author would like to thank Joseph Palmieri, Articling Student, for his assistance in preparing this legal update. [read post]
15 Feb 2021, 7:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Wudemann’s customer complaints alleges that Wudemann recommended unsuitable investments in various investments and misrepresented investment products including mutual fund securities and structured notes among other allegations of misconduct relating to the handling of their accounts. [read post]
16 Sep 2022, 8:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reynolds’ customer complaints alleges that Reynolds recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts, including unauthorized trading. [read post]
6 Jan 2020, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Baum’s customer complaint alleges that Baum recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
27 Mar 2023, 11:17 am
FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jun 2012, 12:15 pm
The Financial Industry Regulatory Authority (FINRA) views its mandate as investor protection and as such, they have given notice that a new suitability rule, Rule 2111, will go into effect on July 9, 2012. [read post]
5 Oct 2017, 7:05 pm
The circular states that the establishment or activities of these firms should increase the range and quality of products and services for investors and benefit the Hong Kong financial services industry. [read post]
27 Feb 2012, 1:16 pm
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened. [read post]
18 May 2020, 9:18 am
FINRA Broker Disciplinary Action Report: May 2020Each 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]
7 Apr 2022, 12:30 pm
FINRA Reportedly Bars Cetera Broker Marianne Smith from the Securities Industry According to the Financial Industry Regulatory Authority (FINRA), Broker Marianne Oshee Smith (CRD#: 1587765) was reportedly barred from the securities industry after her employer, Cetera Advisors, reported Smith had been discharged in connection with its investigation of her deposit of customer checks into accounts maintained by a third party. [read post]
23 Jan 2023, 1:27 pm
The following summarizes key components of these regulatory actions: Reassignment of Responsibilities Under the final rule, BOEM retains the authority to identify the areas that may be leased for offshore development, to issue and administer leases and other grants, to review and approve Construction and Operations Plans and Site Assessment Plans, and to require payments and financial assurance. [read post]
2 Jun 2020, 10:33 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates broker-dealers and their employees, has a series of rules requiring broker-dealers to establish and maintain a supervisory system to supervise its brokers and other employees, as well as to monitor all trading activity to ensure compliance with applicable securities laws and regulations. [read post]
