Search for: "Financial Industry Regulatory Authority"
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27 May 2019, 12:36 am
IP Track 1: Policy, industrial property and innovation 1. [read post]
25 May 2019, 4:52 pm
Very sensibly Ofcom steered away from extreme voices linked with a few local authorities which sought draconian limits if not a ban on children taking part in television programmes at all. [read post]
24 May 2019, 10:46 pm
If have questions or need more information about the risk assessment or other HIPAA requirements or other health care regulatory developments or their implications on your organization, contact the author. [read post]
24 May 2019, 9:32 am
On May 17, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a permanent bar against former Pennsylvania LPL Financial representative Philip John Nalesnik. [read post]
24 May 2019, 9:20 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded $519,000 to Stephen and Brenda Balock in their investor fraud claim against Morgan Stanley (MS). [read post]
24 May 2019, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Greenfield’s customer complaints allege that Greenfield recommended unsuitable securities recommendations in a variety of products including master limited partnerships (MLPs), municipal and corporate bonds, and other securities among other allegations of misconduct in the handling of customer accounts. [read post]
24 May 2019, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bernstein’s customer complaints allege that Bernstein recommended unsuitable investments and securities among other allegations. [read post]
24 May 2019, 3:45 am
The fact that such industry holdings are not to be considered as obliged entities would lead to more legal certainty for clients in the non-financial sector. [read post]
23 May 2019, 11:01 pm
The authority of NCLAT to hear the appeals of the cases passed by the Board with respect to the insolvency professionals or information utilities will be analysed. [read post]
23 May 2019, 12:28 pm
In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. [read post]
23 May 2019, 7:37 am
Regulations Are Mute Concerning Client Bequests to BrokersAfter a Maryland financial advisor inherited $500,000 from an elderly client, lawmakers have asked the governing body of the securities industry, the Financial Industry Regulatory Authority (FINRA), to provide guidance over whether and how brokers can inherit wealth from customers, especially senior investors.Led by Nevada Senator Catherine Cortez Masto, the lawmakers sent a letter to… [read post]
23 May 2019, 7:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Mante has been accused by a customers of unsuitable investment advice concerning recommendations to invest in Puerto Rico bonds. [read post]
23 May 2019, 6:39 am
IMS has withdrawn its Financial Industry Regulatory Authority (FINRA) registration and notified FINRA of its intention to close. [read post]
22 May 2019, 10:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Patino concerns allegations over variable annuity sales practices. [read post]
22 May 2019, 9:02 am
Regulators Go After Broker-Dealers and Woodbridge The SEC and the Financial Industry Regulatory Authority (FINRA) have been going after brokerage firms and brokers that sold the Woodbridge investments to customers. [read post]
22 May 2019, 8:50 am
TONO hits a new collection record; KODA reports a second year of DKK1bn+ receipts Norwegian and Danish authors’ societies TONO and KODA have reported their financial results for 2018. [read post]
22 May 2019, 3:56 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
22 May 2019, 1:24 am
One of the review’s principal conclusions is that TPR’s current form remains the most appropriate for its functions, and rejects the idea of merger with the Financial Conduct Authority (FCA). [read post]
21 May 2019, 10:38 am
Stockbroker’s Senior Designations According to the Security and Exchange Commission’s website (SEC), neither they or the Financial Industry Regulatory Authority (FINRA) “endorse professional designations or titles such as “senior specialist” or “retirement advisor” that some financial professionals use to market themselves. [read post]
21 May 2019, 8:48 am
A former America Northcoast Securities broker is barred by the Financial Industry Regulatory Authority (FINRA) after he traded in nontraditional exchange-traded funds (ETFs) in the accounts of firm clients, even when the investments were not suitable for them. [read post]
