Search for: "Financial Industry Regulatory Authority"
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13 Feb 2010, 12:28 pm
In contrast to other industries, regulatory changes have been less frequent within the death care industry because legislators and regulators don’t understand the business. [read post]
24 Jul 2023, 9:01 pm
The bill also contemplates the formation of a self-regulatory organization (SRO) — a “customer protection and market integrity authority” — for the digital asset space. [read post]
10 Apr 2019, 5:20 am
According to the Financial Industry Regulatory Authority (FINRA), the self-regulator has suspended former financial advisor Scott Klor who had been reportedly discharged by LPL Financial for failing to notify the firm about a private securities transaction structured as a viatical settlement. [read post]
4 Mar 2019, 3:56 pm
On February 25, the Bank of England (BoE), the Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission (CFTC) published a joint statement detailing the measures that will be taken to ensure the continuity of UK-US derivatives trading and clearing activities after Brexit. [read post]
5 Mar 2014, 7:30 am
Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA)(f/k/a the NASD), stock exchanges, state financial agencies, and foreign regulatory bodies. [read post]
5 Jul 2008, 2:50 am
"Rising fuel and food prices, declines in the housing market, volatility in the financial markets, an ever-tightening credit crunch... [read post]
27 May 2014, 5:34 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Jeffrey Schrader (Schrader) concerning allegations that the broker engaged in private securities transactions and failed to cooperate with FINRA’s investigation. [read post]
4 Feb 2014, 6:15 am
Supervisor Irving Burstein (Burstein) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) by accepting a one-year bar from the securities industry. [read post]
20 Dec 2013, 7:59 am
Broker David Charles Kauffman (Kauffman) was recently barred by The Financial Industry Regulatory Authority (FINRA) over his failure to respond to FINRA’s investigation over allegations that he engaged in personal private securities transactions, used unapproved email addresses, and introduced clients to individuals associated with non-approved investment opportunities. [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]
12 Mar 2010, 11:08 pm
If you are going to buy annuities in Texas, it is important that you make sure that your agent is licensed with the state and also has a Financial Industry Regulatory Authority license. [read post]
13 Nov 2009, 10:31 am
Various independent broker-dealers that sold Medical Capital securities to investors are the subject of ongoing investigations, as well as class-action lawsuits and arbitration claims filed with the Financial Industry Regulatory Authority (FINRA). [read post]
27 Nov 2017, 10:05 pm
If you have sustained losses in an investment in GWG Renewable Secured Debentures, an illiquid and high-risk alternative investment, you be able to recover losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”) if the investment was sold pursuant to a misleading sales presentation or the recommendation to purchase the securities lacked a reasonable basis. [read post]
26 Aug 2020, 4:00 am
Jody Ethan Thompson of Seaford, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretionary trading and made unsuitable recommendations in violation of NASD Rule 2510 and FINRA Rules 2111 and 2010. [read post]
3 Aug 2020, 4:00 am
Castoriano of New Orleans, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he has been fined and suspended for allegedly engaging in unauthorized trading in violation of NASD Rule 2510(b) and FINRA Rule 2010. [read post]
26 Oct 2018, 10:46 am
The Corps has significant regulatory and enforcement authority under the CWA. [read post]
6 Sep 2019, 11:40 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Stefan Pastor, former Raymond James broker, for allegedly providing false testimony during its investigation into claims of unauthorized trading. [read post]
2 Jan 2018, 6:59 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Clifford Vatter (Vatter) has received six customer complaints. [read post]
16 Oct 2014, 6:26 am
The Financial Industry Regulatory Authority (FINRA) barred broker Edward Wendol (Wendol) concerning allegations that during the course of FINRA’s investigation into whether Wendol was involved in undisclosed outside business and private securities transactions, also known as “selling away”, Wendol failed to respond to FINRA’s requests. [read post]
16 Oct 2017, 11:17 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor David Zier (Zier), in October 2014, was terminated by his then employer City National Securities, Inc. [read post]
