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22 Oct 2019, 3:16 pm
EBSA projects the adoption of the proposed regulation would substantially reduce the administrative and financial burden of meeting the ERISA disclosure requirements. [read post]
22 Oct 2019, 9:00 am
See our prior post: CALIFORNIA STEM CELL REGULATIONS GUIDE THE EMERGING STEM CELL RESEARCH EFFORT AND INDUSTRY California stem cell laws boost the stem cell industry by funding stem cell research, but the product side of industry is largely in the hands of the FDA. [read post]
22 Oct 2019, 7:41 am
In addition, the Consumer Financial Protection Bureau, state Attorneys General, and state regulatory agencies, have scrutinized lead generation advertising. [read post]
22 Oct 2019, 7:41 am
In addition, the Consumer Financial Protection Bureau, state Attorneys General, and state regulatory agencies, have scrutinized lead generation advertising. [read post]
21 Oct 2019, 12:41 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]
21 Oct 2019, 10:52 am
According public disclosures on the Financial Industry Regulatory Authority’s website on October 18, financial advisor Dennis Mehringer Jr. was reportedly barred from working in the securities industry after he allegedly failed to provide testimony in FINRA’s investigation into whether he “had engaged in unsuitable trading and other misconduct during the period from January 2017 through May 2018. [read post]
21 Oct 2019, 5:47 am
Orr’s attorney has brought it to our attention that Orr has succeeded in using The Financial Industry Regulatory Authority (FINRA) flawed expungement process system to remove all five complaints from his BrokerCheck record. [read post]
21 Oct 2019, 5:07 am
Brokers Trying to Erase History of Customer DisputesA system that records all the misdeeds of rogue financial advisors which many investors did not know existed is now being gamed by many of the same brokers it’s meant to expose.BrokerCheck is a comprehensive database run by securities industry regulatory agency, FINRA. [read post]
20 Oct 2019, 12:48 pm
By the same token, whistleblower revelations “have been central” to many of the regulatory enforcement actions brought against the financial services industry in the last decade, in the U.S. and elsewhere. [read post]
18 Oct 2019, 10:51 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]
18 Oct 2019, 10:11 am
Typically, the third quarter is quieter than the second quarter from a compliance perspective, however we continue to see meaningful enforcement actions taken by regulatory authorities and rapid developments in the digital asset space. [read post]
18 Oct 2019, 7:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Delhagen’s customer complaints alleges that Delhagen 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]
18 Oct 2019, 7:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Byrd’s customer complaints allege that Byrd recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
18 Oct 2019, 3:00 am
The third defendant in the case, a California man named Andrey Kukushkin, was arrested recently, according to authorities. [read post]
17 Oct 2019, 9:05 pm
Bill Himpler, president and CEO of the American Financial Services Association, welcomed the announcement, noting that “the financial services and consumer credit industries, as well as consumer needs, have evolved dramatically in just the past decade. [read post]
17 Oct 2019, 10:29 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]
17 Oct 2019, 10:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Holland’s customer complaints alleges that Holland recommended unsuitable investments, negligence, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
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]
