Search for: "Financial Industry Regulatory Authority"
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3 May 2019, 2:05 pm
An investor in GPB Capital has filed a Financial Industry Regulatory Authority (FINRA) Claim against Arkadios Capital and one of its brokers over losses she sustained to her IRA after she followed the financial adviser’s recommendation to invest in GPB Capital Holdings. [read post]
3 May 2019, 8:51 am
AXA Advisors LLC Fined for Reportedly Misrepresenting Junk Bonds According to the Financial Industry Regulatory Authority (FINRA), the broker-dealer unit of AXA Equitable Life Insurance Co. agreed to pay a $600,000 fine and repay $172,000 to 401(k) retirement plan participants for marketing some junk bond funds as investment-grade. [read post]
3 May 2019, 6:26 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Midtown Partners & Co.. [read post]
2 May 2019, 1:22 pm
” The self-regulatory authority (SRO) has already barred both former brokers from the industry. [read post]
2 May 2019, 11:54 am
Takeaways The Commission’s complaint and settlement order provide valuable insight and reminders to the online lending industry and others. [read post]
1 May 2019, 12:16 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Meier’s customer complaints allege that Meier made was negligent, breached his fiduciary duty, and made unsuitable investments in penny stocks and low priced securities. [read post]
1 May 2019, 12:16 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Krapf’s customer complaints allege that Krapf made was negligent and breached his fiduciary duty to the customer. [read post]
1 May 2019, 4:39 am
Past Chair of the ABA Managed Care & Insurance Interest Group and, a Fellow in the American College of Employee Benefit Counsel, the American Bar Foundation and the Texas Bar Foundation, heavily involved in health benefit, health care, health, financial and other information technology, data and related process and systems development, policy and operations throughout her career, and scribe of the ABA JCEB annual Office of Civil Rights agency meeting, Ms. [read post]
30 Apr 2019, 1:28 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Leavitt’s customer complaints allege that Leavitt made unsuitable recommendations and made misrepresentations. [read post]
30 Apr 2019, 10:23 am
Health plans must deliver electronic protected health information (“ePHI”) to electronic applications or software (“apps”) used by plan members, and are responsible under the Health Insurance Portability & Accountability Act (“HIPAA”) Privacy and Security Rules for the security of electronic protected health information (“ePHI”) on apps they sponsor or provide, according to new guidance from the Department of Health & Human Services… [read post]
29 Apr 2019, 6:23 pm
While the CFTC has enforcement authority, they do not have the authority to directly supervise the bitcoin trading market. [read post]
29 Apr 2019, 4:39 pm
While the CFTC has enforcement authority, they do not have the authority to directly supervise the bitcoin trading market. [read post]
29 Apr 2019, 8:34 am
The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm. [read post]
29 Apr 2019, 7:21 am
Q: Do I have to sign a new authorization card? [read post]
28 Apr 2019, 7:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Speyer’s customer complaints allege that Speyer made was negligent and made unsuitable investments. [read post]
26 Apr 2019, 8:35 am
According to the Financial Industry Regulatory Authority Inc., the regulator has sanctioned broker-dealer Buckman, Buckman & Reid on April 25, 2019 for failure to supervise. [read post]
26 Apr 2019, 8:28 am
According to a report issued by the Financial Industry Regulatory Authority, Inc., the U.S. [read post]
26 Apr 2019, 1:47 am
http://www.finra.org/sites/default/files/fda_documents/2016051389101%20Michael%20John%20Ahearn%20CRD%202661001%20Order%20Accepting%20Office%20sl.pdf In response to the filing of a Complaint on September 12, 2018, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Michael John Ahearn submitted an Offer of Settlement dated April 22, 2019, which the regulator accepted. [read post]
25 Apr 2019, 12:33 pm
FINRA Suspends Broker James Bashaw for Allegedly Borrowing Money from Client According to The Financial Industry Regulatory Authority today, the regulator has suspended and fined James Bashaw, a former LPL Financial broker, for allegedly borrowing close to $200,000 from a client in 2013. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. [read post]
