Search for: "Financial Industry Regulatory Authority"
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29 Mar 2019, 12:01 pm
This is why UBS has reportedly already paid more than $480 million to settle UBS Puerto Rico bond fraud claims brought before the Financial Industry Regulatory Authority (FINRA) by investors. [read post]
28 Mar 2019, 2:54 pm
Under the current regulations, employers using an authorized basic rate may exclude from the overtime computation any additional payment that would not increase total overtime compensation by more than $0.50 a week on average for overtime work weeks in the period for which the employer makes the payment. [read post]
28 Mar 2019, 10:36 am
Sam Aziz – Coastal Securities – Dublin, Ohio According to Letter of Acceptance, Waiver & Consent, on March 27 The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Sam Aziz from the securities industry. [read post]
28 Mar 2019, 7:18 am
While 529 savings plans are state-sponsored investments, they are still managed by private brokerage firms; and, in a recent News Release, the Financial Industry Regulatory Authority (FINRA) publicly voiced its concern that a lack of oversight may be putting families at risk for fraudulent losses: “[F]ees and expenses [for 529 savings plans] vary widely from plan to plan. [read post]
27 Mar 2019, 8:13 am
Author of leading works on a multitude of labor and employment, compensatio [read post]
27 Mar 2019, 6:24 am
Stamer has continuously worked with these and other management clients to design, implement, document, administer and defend hiring, performance management, compensation, promotion, demotion, discipline, reduction in force and other workforce, employee benefit, insurance and risk management, health and safety, and other programs, products and solutions, and practices; establish and administer compliance and risk management policies; comply with requirements, investigate and respond to government,… [read post]
26 Mar 2019, 9:05 pm
States could decide to challenge any of the CFPB’s proposals that would preempt their authority over financial firms. [read post]
26 Mar 2019, 10:24 am
She regularly helps employer and other health benefit plan sponsors and vendors, health industry, insurers, health IT, life sciences and other health and insurance industry clients design, document and enforce plans, practices, policies, systems and solutions; manage regulatory, contractual and other legal and operational compliance; vendors and suppliers; deal with Medicare, Medicaid, CHIP, Medicare/Medicaid Advantage, ERISA, state insurance law and other private payer… [read post]
26 Mar 2019, 10:07 am
The failure to do so can make the brokerage firm legally liable through a Financial Industry Regulatory Authority (FINRA) arbitration claim or lawsuit. [read post]
26 Mar 2019, 7:12 am
The National Association of Insurance Commissioners adopted a model cybersecurity law, and states such as New York and South Carolina have adopted cybersecurity requirements governing the financial services, insurance, and credit reporting industries. [read post]
26 Mar 2019, 7:12 am
Aside from the FBI, GPB Capital Holdings is already under investigation by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New Jersey Bureau of Securities, and Massachusetts Secretary of the Commonwealth William Galvin, who is investigating more than 60 brokerage firms that sold GPB Capital Holdings-related private placements to investors. [read post]
25 Mar 2019, 9:15 am
FINRA, the Financial Industry Regulatory Authority, requires broker dealers to make suitable recommendations to their customers and to do due diligence into investments they recommend. [read post]
22 Mar 2019, 6:09 am
Case In PointIn response to the filing of a Complaint on August 1, 2017, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Farrukh S. [read post]
21 Mar 2019, 6:41 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve such disputes. [read post]
20 Mar 2019, 7:35 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
20 Mar 2019, 7:24 am
Stamer has continuously worked with these and other management clients to design, implement, document, administer and defend hiring, performance management, compensation, promotion, demotion, discipline, FMLA and other leave, reduction in force and other workforce, employee benefit, insurance and risk management, health and safety, and other programs, products and solutions, and practices; establish and administer compliance and risk management policies; comply with requirements, investigate and… [read post]
19 Mar 2019, 4:28 pm
Stamer has continuously worked with these and other management clients to design, implement, document, administer and defend hiring, performance management, compensation, promotion, demotion, discipline, FMLA and other leave, reduction in force and other workforce, employee benefit, insurance and risk management, health and safety, and other programs, products and solutions, and practices; establish and administer compliance and risk management policies; comply with requirements, investigate and… [read post]
19 Mar 2019, 12:17 pm
Johnston – NYLife Securities – Investigation According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has barred financial advisor Judith A. [read post]
19 Mar 2019, 6:12 am
By John Filar Atwood The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) are seeking public input on the appropriate way to regulate Canadian platforms that trade crypto-assets. [read post]
19 Mar 2019, 6:00 am
ISS recommends that investors “[v]ote for shareholder proposals seeking information on the financial, physical, or regulatory risks it faces related to climate change- on its operations and investments, or on how the company identifies, measures, and manage such risks” in its 2019 Policy Recommendations. [read post]
