Search for: "Financial Industry Regulatory Authority"
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10 May 2019, 7:05 am
Today’s proposals reflect an important step forward in the Commission’s efforts to stand up the Dodd-Frank Title VII regulatory regime. [read post]
10 May 2019, 5:08 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, Dominic Tropiano submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
9 May 2019, 1:17 pm
Where the company is in the insurance industry, the process should be keyed to federal and state regulatory requirements. [read post]
9 May 2019, 8:06 am
If you have questions or would like more information about the new Rule or other developments impacting your health plan design or administration, please contact the author directly. [read post]
8 May 2019, 1:08 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering Morgan Stanley (MS) to pay a claimant $454,813 for retirement fund mismanagement. [read post]
8 May 2019, 12:44 pm
If you want addition information or assistance in reviewing or responding to these proposals, please contact the author directly. [read post]
SinoTech: U.S. Threatens Tariff Hike on Chinese Goods as Tech-Related Trade Issues Remain Unresolved
8 May 2019, 12:12 pm
” It would also appear that the United States has softened its stance on Chinese industrial policies. [read post]
8 May 2019, 6:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bakalis’ customer complaints allege that Bakalis failed to disclose a non-traded REIT merger and forged client signatures on paperwork. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Neely has been accused by FINRA of engaging in unauthorized trading in client accounts. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Burdsall’s customer complaints allege that Burdsall invested them in a fraudulent private placement security or made unsuitable investments. [read post]
7 May 2019, 6:00 am
Regulatory landscape The Canadian government has been committed to providing significant monetary support to the AI industry. [read post]
6 May 2019, 5:44 pm
Beyond her public policy and regulatory affairs involvement, Ms. [read post]
6 May 2019, 11:49 am
Such dramatic disruption of federal-state relationships in the banking industry occasioned by a federal regulatory agency lends weight to the argument that it represents exercise of authority that exceeds what Congress may have contemplated in passing the NBA. [read post]
6 May 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Council has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
5 May 2019, 10:32 pm
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the broker or financial advisor. [read post]
4 May 2019, 11:45 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Augusta’s customer complaints allege that Augusta sold his clients a variety of improper products including Puerto Rico municipal bonds, interest rate swap CDs (structured CDs), and other unsuitable debt securities. [read post]
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]
