Search for: "Financial Industry Regulatory Authority"
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18 Jun 2019, 2:34 pm
In summary, Aquino allegedly engaged in: Inadequate and unsuitable recommendations An unsuitable investment strategy Misrepresentations and omissions Making statements that materially false and misleading During his just 11 years as a broker, Aquino worked at 13 firms, three of which have been expelled by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Jun 2019, 4:36 am
FINRA Broker Disciplinary Action Report: June 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]
17 Jun 2019, 7:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Bastardi (Bastardi) has been subject to at least two customer complaints, one regulatory action, and one tax or lien judgment during his career. [read post]
16 Jun 2019, 10:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Gabriel Block (Block) has been subject to at least 12 customer complaints and five regulatory actions during his career. [read post]
15 Jun 2019, 4:28 pm
The decision follows a report into gender stereotypes by the UK’s Advertising Standard Authority (ASA), published in 2017. [read post]
14 Jun 2019, 3:07 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the eleventh annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
14 Jun 2019, 12:08 pm
In 2015, he settled a civil case brought by the Financial Industry Regulatory Authority (FINRA) accusing him of exercising discretion in a customer’s accounts even though he did not have their permission to make such trades. [read post]
14 Jun 2019, 11:16 am
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]
13 Jun 2019, 9:15 pm
The authors argue that the original meaning of the Take Care clauses in Article II—which require the President to “faithfully” execute the duties of office—closely resembles the corporate law fiduciary duties imposed on corporate officers to avoid self-dealing financial transactions and to act within the limits of their authority. [read post]
13 Jun 2019, 9:11 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
13 Jun 2019, 8:42 am
His scheme reportedly fell apart when one of his clients contacted the Financial Industry Regulatory Authority (FINRA) and Simanski admitted his wrong doing to his employer. [read post]
12 Jun 2019, 12:32 pm
According to a Letter of Acceptance, Waiver & Consent signed on June 11, 2019, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Nicolas J. [read post]
12 Jun 2019, 9:41 am
According to a Letter of Acceptance Waiver & Consent, the Financial Industry Regulatory Authority has allegedly barred Jessee from associating with any FINRA member at any time. [read post]
11 Jun 2019, 11:57 am
Jason Nelson, an ex-LPL Financial broker (LPLA), is now barred by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jun 2019, 9:29 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kinsman’s customer complaints allege that Kinsman recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
11 Jun 2019, 6:19 am
Accordingly, determining what is “direct and significant” to the U.S. financial system should be at the heart of the CFTC’s approach to cross-border issues. [read post]
10 Jun 2019, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Hawkins’ customer complaints allege that Hawkins made unsuitable recommendations in certain structured products. [read post]
10 Jun 2019, 6:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Viglione (Viglione) has been subject to at least four customer complaints during his career. [read post]
8 Jun 2019, 7:05 pm
(Pix © Larry Catá Backer 2019)This post is the third of a series of three posts in which the CPE WGE examine the question of paths to empire performed through the choices being made by the U.S. and Chinese leadership cores [领导核心] within the theater of the U.S. [read post]
7 Jun 2019, 7:30 am
Should you wish to discuss requirements and/or implications of Reg BI, Form CRS Relationship Summary or newly issued statutory interpretations, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
