Search for: "Financial Industry Regulatory Authority"
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22 Feb 2017, 5:40 am
I am formally calling upon the august Wall Street self-regulatory organization, the Financial Industry Regulatory Authority, to stop putting Peeps into vacuums -- and to stop putting Peeps into Oreo cookies. [read post]
21 Jan 2015, 2:00 pm
With regard to the CFPB in particular, the Committee intends to oversee the CFPB’s regulatory, supervisory, enforcement and other activities, the effect of such activities on regulated entities and consumers, and the CFPB’s collaboration with other regulators. [read post]
22 Jan 2010, 6:00 am
Professor Bebchuk will be testifying today in the hearing on "Compensation in the Financial Industry. [read post]
15 Mar 2023, 7:20 am
FINRA Sanctions Webull Financial for Options Trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has reportedly censured and fined Webull Financial LLC (CRD #289063)$3,000,000 for supervisory issues regarding options trading. [read post]
31 Jul 2012, 12:59 pm
A recent arbitration incident and the circumstances surrounding it have enraged investor advocates who contend that securities industry-sponsored arbitration is inherently unfair to investors and that the Financial Industry Regulatory Authority’s monopoly over investor dispute resolution should be ended. [read post]
3 Dec 2017, 9:38 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against former Morgan Stanley broker Peter Doyle (Doyle). [read post]
13 Jun 2023, 8:32 am
Matalon, who once managed a $250 million book, declined to participate in a Financial Industry Regulatory Authority request [...] [read post]
24 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
10 Dec 2011, 5:06 pm
The US hedge fund industry has asked Hong Kong authorities to require mandatory access to OTC derivatives clearing for all eligible market participants that desire to clear on a voluntary basis as part of the derivatives regulatory regime being erected in Hong Kong. [read post]
5 Sep 2013, 5:58 am
Kmetz (Kmetz) was barred by the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of securities away from his member firm involving an elderly customer by accepting a bar from the securities industry. [read post]
5 Sep 2013, 6:00 am
Turker Ergun (Ergun) settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning the sale of private securities and misappropriating customer funds by accepting a bar from the securities industry. [read post]
16 Jul 2019, 1:01 pm
EDT DEADLINE for Submission of FINRA Board Candidates' Statements to BrokeAndBroker.com BlogOn August 19, 2019, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
14 Sep 2017, 9:27 am
According to the Financial Industry Regulatory Authority, Miami broker Lorenzo C. [read post]
1 May 2013, 9:30 pm
The Act’s regulatory overhaul eliminated the Financial Services Authority (FSA), the U.K. [read post]
3 Aug 2022, 10:56 am
FINRA Bars Ernest Frerking after Allegations of Broker Misconduct According to public records posted to FINRA’s website, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Ernest Frerking (CRD #2588177) from associating with any FINRA member at any time. [read post]
31 Jan 2017, 8:22 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Barry Rumpel (Rumpel) currently associated with IFS Securities alleging unsuitable investments among other claims. [read post]
18 Jan 2019, 11:39 am
Weiser – Despain Financial Corporation According to the Financial Industry Regulatory Authority (FINRA) on January 17, Jay R. [read post]
21 Nov 2019, 5:56 am
However, he did not admit to or deny the self-regulatory authority’s (SRO) findings. [read post]
18 Nov 2020, 9:03 pm
Although the CFTC report outlines a wide range of policies designed to combat climate change and secure U.S. financial markets, its authors present one key recommendation: Congress should adopt an economy-wide price on carbon to encourage industry members to reduce harmful gas emissions. [read post]
8 May 2015, 10:42 am
On the heels of an announcement from the Financial Industry Regulatory Authority (FINRA) that LPL Financial LLC has been fined approximately $12 million as a result of lax supervision, FINRA barred former LPL broker Charles Fackrell as a result of him refusing to comply with FINRA’s request for information. [read post]
