Search for: "Financial Industry Regulatory Authority"
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1 Feb 2019, 8:38 am
According to the Court, in seeking to enforce Redwater’s end of life obligations, the AER was acting in the public interest in a bona fide regulatory capacity and did not stand to benefit financially. [read post]
1 Feb 2019, 8:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Salles customer complaints allege that Salles made unsuitable recommendations in a variety of investments including junk bonds, Puerto Rico bonds, and structured notes. [read post]
1 Feb 2019, 12:00 am
Regulatorische Vielfalt aus der Perspektive einer Bank Mathias Otto* ZVglRWiss 117 (2018) 542-556 [Regulatory Diversity from a Banking Perspective] The globalization of the financial industry as well as tightened regulation of the sector significantly increased the potential for cross-border regulatory conflicts. [read post]
There was (legislative) movement at the border of 2019 for tobacco and asbestos imports and FTA rule
31 Jan 2019, 8:56 pm
Shortly before Christmas 2018, industry views were sought on proposed changes to the Customs Regulation 2015 and Prohibited Import and Export Regulations regarding the import and export of asbestos in its various forms. [read post]
31 Jan 2019, 2:03 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
31 Jan 2019, 1:24 pm
Investor Awarded $276K in Woodbridge Ponzi Fraud A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded more than $276K to an investor that lost money in the $1.2B Woodbridge Ponzi scam. [read post]
31 Jan 2019, 12:59 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Aziz’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
31 Jan 2019, 12:58 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Abramowitz’s customer complaints allege that Abramowitz made unsuitable recommendations in a variety of investments including equities including energy related stocks. [read post]
31 Jan 2019, 12:42 pm
At the start of each year, regulatory agencies Financial Industry Regulatory Authority and the Securities and Exchange Commission publish their priorities. [read post]
31 Jan 2019, 11:40 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]
31 Jan 2019, 8:14 am
Congress concluded that this structure would enable the new agency to best do its job of protecting Americans from harmful practices of the financial services industry and preventing another financial crisis like the one that shook the nation in 2008. [read post]
31 Jan 2019, 8:04 am
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [read post]
30 Jan 2019, 3:23 pm
On January 22, 2019, the Financial Industry Regulatory Authority, Inc. [read post]
30 Jan 2019, 2:11 pm
The Financial Industry Regulatory Authority (FINRA) has issued its “Report on Selected Cybersecurity Practices – 2018” to provide further guidance to broker-dealer firms in developing and improving their cybersecurity programs. [read post]
28 Jan 2019, 1:34 pm
FINRA Broker Disciplinary Action Report January 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]
28 Jan 2019, 1:22 pm
If burdens from both the regulatory and tax sectors could be lifted, the law-abiding marijuana cultivators and retailers would have a decent shot. [read post]
28 Jan 2019, 12:57 pm
Notices and information to consumers, including financial incentive offerings. 7. [read post]
26 Jan 2019, 2:24 am
Case In PointIn a Financial Industry Regulatory Authority Statement of Claim filed in June 2018, associated person Claimant Redferan sought the expungement of a customer complaint from his Central Registration Depository record ("CRD"). [read post]
25 Jan 2019, 12:46 pm
– Cut Off, LA According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Kristian M. [read post]
25 Jan 2019, 9:48 am
Just this month, Merrill Lynch (BAC) was ordered by the Financial Industry Regulatory Authority (FINRA) to pay $300K for inadequately supervising the broker who defrauded ex-NFL player Dwight Freeney of a few million dollars. [read post]
