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25 Jul 2019, 11:47 am
The Financial Industry Regulatory Authority (FINRA) is reportedly currently investigating Robert J. [read post]
24 Jul 2019, 10:00 am
Legal and Regulatory Developments SPOTLIGHT: US Reps, Senators Present Faster Payments LegislationPYMNTS – July 24, 2019 To reinforce the Federal Reserve’s authority to create a real-time payments system and mandate that the Fed brings about its own process, two U.S. representatives and two U.S. senators have introduced the Payment Modernization Act of 2019. [read post]
23 Jul 2019, 4:30 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
23 Jul 2019, 2:12 pm
About the author: Matthew Benedict is an attorney practicing law in Traverse City. [read post]
23 Jul 2019, 2:12 pm
About the author: Matthew Benedict is an attorney practicing law in Traverse City. [read post]
23 Jul 2019, 1:56 pm
The board reportedly sanctioned Lewis after receiving evidence that he entered into a Letter of Acceptance, Waiver, and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. [read post]
23 Jul 2019, 12:11 pm
CFP Board imposed the sanction after reportedly receiving evidence that Couglar entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. [read post]
23 Jul 2019, 9:30 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Marcus Boggs from associating with any FINRA member after he reportedly failed to answer requests for information in FINRA’s investigation. [read post]
23 Jul 2019, 7:33 am
” The Financial Industry Regulatory Authority (FINRA) reportedly suspended Shaw in 2017 because he allegedly engaged in six outside business activities without seeking prior approval from his member firm, Center Street Securities. [read post]
23 Jul 2019, 3:26 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes. [read post]
21 Jul 2019, 5:34 am
According to publicly available records, the Financial Industry Regulatory Authority (FINRA) suspended Flaningan after he was reportedly terminated from his member firm for allegations “he was involved in the solicitation of New York Life clients to invest in an unregistered entity named Woodbridge Mortgage Investment Fund, which has filed for bankruptcy protection and is the subject of an action filed by the SEC. [read post]
20 Jul 2019, 11:43 am
According to publicly available records, the Financial Industry Regulatory Authority (FINRA) reportedly barred Royster from working in the securities industry after he allegedly refused to comply with a FINRA request for documents and information related to its investigation into the circumstances surrounding his termination from his member firm. [read post]
19 Jul 2019, 2:21 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Marino yesterday from working in the securities industry. [read post]
19 Jul 2019, 11:40 am
56 Settlements with Member Firms & $89 Million in Restitution According to a press announcement on Wednesday, the Financial Industry Regulatory Authority (FINRA) has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearly 110,000 charitable and retirement accounts as a result of its mutual fund fee waiver initiative. [read post]
19 Jul 2019, 9:30 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Pearson from working in the securities industry in June 2017. [read post]
18 Jul 2019, 2:17 pm
Attorney's Offices for the Eastern District of New York and District of Massachusetts, the Federal Bureau of Investigation, the Royal Canadian Mounted Police, the British Columbia Securities Commission, the Malta Financial Services Authority, the Mauritius Financial Services Commission, the Hong Kong Securities and Futures Commission, the Monetary Authority of Singapore, and the Financial Industry Regulatory… [read post]
17 Jul 2019, 10:32 am
It hopes to operate similarly to other financial regulators like the Financial Industry Regulatory Authority and the National Futures Association. [read post]
17 Jul 2019, 7:30 am
FINRA Broker Disciplinary Action Report: July 2019Each 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]
16 Jul 2019, 2:01 pm
This example in the preamble states that, “while not a threshold, a possible demonstration may be based on stochastic modeling showing that the merged plan’s probability of insolvency within 30 years of the merger exceeds 65% without the requested financial assistance. [read post]
16 Jul 2019, 1:01 pm
EDT DEADLINE for Submission of FINRA Board Candidates' Statements to BrokeAndBroker.com BlogOn August 19, 2019, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
