Search for: "Financial Industry Regulatory Authority"
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4 Jun 2019, 8:23 am
According to an award posted on the Financial Industry Regulatory Authority’s website this week, an all-public panel has reportedly found former financial advisor William Gennity liable for $2.4 million plus attorney’s fees for allegations of unsuitability, unauthorized trading, failure to supervise, and breach of fiduciary duty. [read post]
4 Jun 2019, 7:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Lyle concern allegations over variable annuity sales practices. [read post]
4 Jun 2019, 7:56 am
” Then the Financial Industry Regulatory Authority Inc. [read post]
4 Jun 2019, 6:30 am
But in certain industries, OSHA allows whistleblower cases for employees reporting unsafe work condtions. [read post]
3 Jun 2019, 9:02 pm
(Pix © Larry Catá Backer 2019)Every great state has several paths among which it can choose, each consist with its governing ideology and culture. [read post]
3 Jun 2019, 11:11 am
Former Securities America Broker Is Accused of Unsuitable and Unauthorized Trades Michael Bastardi, an ex-Securities America broker, is barred by the Financial Industry Regulatory Authority (FINRA) after he failed to give the regulator the information it requested for an investigation into his alleged conduct. [read post]
3 Jun 2019, 6:05 am
The committee also heard from observers of the industry who are worried about what they’re seeing. [read post]
2 Jun 2019, 2:21 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Fisher’s customer complaints allege that Bernstein recommended unsuitable variable annuity among other allegations. [read post]
31 May 2019, 11:21 am
High was reportedly suspended on April 18, 2019, from associating with any FINRA member firm in any capacity, according to the Financial Industry Regulatory Authority. [read post]
31 May 2019, 3:00 am
The contribution from Haney, a prolific political donor, came as he was seeking regulatory approval and financial support from the government for his bid to acquire the mothballed Bellefonte Nuclear Power Plant in Alabama. [read post]
29 May 2019, 9:01 pm
Indeed, it may not even be a regulatory measure requiring an express grant of authority altogether.In view of Justice Scalia’s insistence during the NFIB oral argument that Congress cannot use it commerce power to force individuals to buy asparagus simply because it is good for them, it would seem that Congress could pass a law declaring “as a matter of federal policy that, eating asparagus is good for you” and even providing resources to promote that message. [read post]
29 May 2019, 5:06 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
29 May 2019, 2:28 pm
CFPB intervention is warranted given the lack of clarity in the private student lending industry and is consistent with CFPB’s supervisory authority over nonbank financial institutions and its FCRA enforcement and rulemaking rehabilitation programs. [read post]
29 May 2019, 2:19 pm
For almost 30 years, we’ve worked with thousands of investors to help them get back their losses from investment fraud through Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), the New York Stock Exchange (NYSE), in private arbitration, and in Federal and state courts. [read post]
29 May 2019, 10:59 am
Further, they require each Covered Entity to perform a risk assessment and base its programs and policies thereon, to develop an incident response plan, and to investigate and report data breaches to regulatory authorities in their respective states. [read post]
29 May 2019, 6:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Shefer’s customer complaints allege that Shefer recommended unsuitable securities recommendations in a variety of products including options trading among other allegations of misconduct in the handling of customer accounts. [read post]
29 May 2019, 2:06 am
Stamer has been extensively involved in U.S. federal, state and local health care and other legislative and regulatory reform impacting these concerns throughout her career. [read post]
28 May 2019, 1:42 pm
Four of these are regulatory/civil matters involving the Securities and Exchange Commission (SEC), the State of Montana, and the Financial Industry Regulatory Association (FINRA), barring him from any and all association with broker-dealers and acting as a broker or in any other capacity. [read post]
28 May 2019, 9:13 am
” Then the Financial Industry Regulatory Authority Inc. [read post]
27 May 2019, 1:37 am
Nevertheless, the effective application of most of these provisions is subject to the intervention of regulatory texts which will only take place in 2020. [read post]
