Search for: "Financial Industry Regulatory Authority"
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1 Mar 2019, 2:29 pm
On February 8, 2019 the Financial Industry Regulatory Authority (“FINRA”) accepted an Acceptance Waiver and Consent (“AWC”) from Elizabeth Marie Garcia, a Merrill Lynch Financial Advisor, pursuant to which Ms. [read post]
1 Mar 2019, 8:46 am
According to the Commissioner, the primary purposes of these amendments are to harmonize Georgia’s rules with the Financial Industry Regulatory Authority’s new rules implementing the Securities Industry Essentials (“SIE”) Exam and to update the requirements regarding examinations to applicants. [read post]
28 Feb 2019, 6:41 pm
While economic reform policies that could negatively affect human rights are more commonly found in the context of economic and financial crisis responses, these reforms have also been observed in less challenging economic times. [read post]
27 Feb 2019, 10:25 am
The Two Swords-One Thrust Strategy combines the power of state officials to exercise discretion in managing anti-corruption laws and the authority of financial institutions to control the access of enterprises to their investment universe or to exercise their shareholder authority to influence corporate behavior. [read post]
27 Feb 2019, 9:02 am
” The Financial Industry Regulatory Authority (FINRA) requires all registered brokerage firms to arbitrate investor claims, and arbitration provides a streamlined and cost-effective venue for individual investors to recover their fraudulent losses from YES, iron condor and CYES investments. [read post]
26 Feb 2019, 11:47 am
FINRA Broker Disciplinary Action Report: February 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]
26 Feb 2019, 7:45 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]
26 Feb 2019, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Lamendola concern allegations over variable annuity sales practices. [read post]
26 Feb 2019, 6:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Daniel Levine (Levine), formerly associated with First Financial Equity Corporation (First Financial), in January 2019, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
25 Feb 2019, 8:18 pm
Many saw it as being potentially damaging to basic privacy rights or as counter-productive to the development of industry in Australia. [read post]
25 Feb 2019, 12:53 pm
Welcome to the final article in our initial introduction to the insurance industry for Insurtechs. [read post]
25 Feb 2019, 8:28 am
In December, the Financial Industry Regulatory Authority (FINRA) suspended the former broker. [read post]
24 Feb 2019, 2:44 pm
As a result, in developing legislation, the GAO opined, Congress must strike the appropriate balance between these competing tensions, and consider issues such as: the proper agency to oversee internet privacy; what authorities an agency (or agencies) should have to oversee internet policy, including notice-and-comment rulemaking authority and first-time violation civil penalty authority; and the appropriate balance between consumer privacy and the… [read post]
24 Feb 2019, 2:10 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
23 Feb 2019, 2:38 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. [read post]
22 Feb 2019, 12:44 pm
Spach, Kestra Investment Services, Barred According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Kestra financial advisor John W. [read post]
21 Feb 2019, 10:47 am
He thinks it’s unfair that data is less regulated than the farm industry. [read post]
21 Feb 2019, 10:06 am
These arbitration claims, which have been filed with the Financial Industry Regulatory Authority (FINRA), allege that investors are losing substantial sums as a result of relying on self-interested and unsuitable advice from their Wall Street brokers. [read post]
20 Feb 2019, 2:27 pm
Stronger regulatory enforcement. [read post]
20 Feb 2019, 12:27 pm
Bertsch Barred According to the Financial Industry Regulatory Authority (FINRA) on Friday, the regulator has barred Kirk J. [read post]
