Search for: "Financial Industry Regulatory Authority"
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5 Aug 2019, 9:05 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Volpe from associating with any FINRA member at any time after he allegedly failed to provide information in its investigation. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
4 Aug 2019, 10:59 pm
CPS 511 is intended to address recommendations 5.1 to 5.3 from the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. [read post]
4 Aug 2019, 1:26 pm
Thanks to the New York Times and Matt Richtel for “Tainted Pork, Ill Consumers and an Investigation Thwarted. [read post]
2 Aug 2019, 9:21 am
According to the Financial Industry Regulatory Authority (FINRA), and to reports, the regulator has reportedly suspended Nichols for fifteen days and fined him $5,000. [read post]
2 Aug 2019, 8:54 am
According to the Wall Street Journal article, LetsMakeAPlan.org, a directory that prospective clients use to find CFP professionals, makes no mention of disciplinary strikes against more than 6,300 financial advisors on the website, even though those advisors have disclosed customer complaints and more to the Financial Industry Regulatory Authority. [read post]
1 Aug 2019, 11:15 am
According to the Financial Industry Regulatory Authority ( FINRA), the regulator has reportedly barred Heafner from associating with any FINRA member at any time after he allegedly failed to provide information in its investigation. [read post]
1 Aug 2019, 10:23 am
FINRA Sanctions Western International Securities for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA) on July 16, the regulator has reportedly censured and fined Western International Securities, a broker dealer in Pasadena, California for overcharging customers on mutual fund transactions placed in customers’ accounts. [read post]
31 Jul 2019, 11:45 am
Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Federal Bureau of Investigation (FBI), the New York City Business Integrity Commission, and the New Jersey Bureau of Securities are all investigating GPB Capital and its various funds. [read post]
31 Jul 2019, 7:29 am
Concerning broker-dealers, for example, NSMIA preserved the states’ right to regulate broker-dealers in all areas except capital, custody, margin, financial responsibility, record keeping, bonding, and financial reporting requirements.Applying the above principles, Pieciak argued that Massachusetts’s preliminary rule proposal is a valid exercise of state regulatory authority because, as written, it does not obstruct Congress’s preemptive intent… [read post]
31 Jul 2019, 7:02 am
Financial Conduct Authority (FCA) has finalized its guidance on crypto assets, clarifying which tokens fall under its jurisdiction. [read post]
30 Jul 2019, 9:05 pm
Massad also argues that financial instruments in the crypto-sector can be difficult to define for regulatory purposes. [read post]
30 Jul 2019, 12:05 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]
29 Jul 2019, 12:12 pm
FINRA Sanctions Woodbury Financial Services for Variable Annuities Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Woodbury Financial Services (CRD #421, Oakdale, Minnesota) on May 13, 2019. [read post]
29 Jul 2019, 11:24 am
According to the Financial Industry Regulatory Authority (FINRA), financial advisor Michael P. [read post]
29 Jul 2019, 10:01 am
As we previously told you, GPB is currently under investigation by regulators, including the Financial Industry Regulatory Authority (FINRA), the SEC and the FBI, who reported raided the firms New York offices in February. [read post]
26 Jul 2019, 1:24 pm
The Financial Industry Regulatory Authority (FINRA) announced that because of its mutual fund waiver initiative, it has arrived at a settlement with 56 broker-dealers that will provide almost 110,000 retirement and charitable accounts with $89M in restitution. [read post]
25 Jul 2019, 2:24 pm
For example, the financial industry appears especially prone to scandals, even after the hard lessons of the financial crises. [read post]
25 Jul 2019, 1:23 pm
The US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are reportedly investigating GPB, as is the Federal Bureau of Investigation, which raided the GPB office in New York earlier this year. [read post]
