Search for: "Financial Industry Regulatory Authority"
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20 Feb 2019, 6:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Rosensweig’s customer complaints allege that Rosensweig made unsuitable recommendations in a variety of securities. [read post]
20 Feb 2019, 5:55 am
For individuals who have lost money in YES investments (including “iron condors” sold by UBS and other brokerage firms), the primary option for recovering their losses is to file an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
19 Feb 2019, 1:09 pm
Kestra to Pay Retirement Plans and Charitable Organizations Back $1.95M Over Missed Mutual Fund Fee Waivers The Financial Industry Regulatory Authority (FINRA) has fined Kestra Investment Services, a Texas-based brokerage firm, $225K for not granting fee waivers to certain charitable organizations and retirement plans when they purchased certain mutual fund share classes. [read post]
19 Feb 2019, 8:23 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Kestra Financial $225,000 and is required to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors over a nine-year period. [read post]
18 Feb 2019, 2:42 pm
Today’s focus is on understanding how InsurTechs partner with insurance carriers to better price their insurance products (Underwriting) and manage their financial positions (Finance and Reinsurance). [read post]
18 Feb 2019, 2:34 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
18 Feb 2019, 3:08 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, Thomas J. [read post]
16 Feb 2019, 8:00 am
In January 2019, the Financial Industry Regulatory Authority (“FINRA”) barred Gaudet from association with any FINRA member. [read post]
15 Feb 2019, 12:45 pm
Broker Investigation – Floyd Earl Powell – Albertville, AL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Floyd Earl Powell from associating with any FINRA member at any time. [read post]
15 Feb 2019, 11:32 am
FINRA Bars Former MML Investors Broker Who Sold Woodbridge Promissory NotesThe Financial Industry Regulatory Authority (FINRA) has barred broker Floyd Powell. [read post]
14 Feb 2019, 11:17 am
Not only did Buck previously plead guilty 13 months ago but the Securities and Exchange Commission and the Financial Industry Regulatory Authority also barred him permanently from the securities industry. [read post]
14 Feb 2019, 4:44 am
In order to take advantage of the TPR firms and funds need to make a notification to the UK Financial Conduct Authority (FCA) or UK Prudential Regulation Authority (PRA) as appropriate before the end of 28 March 2019. [read post]
11 Feb 2019, 7:03 pm
Recently, Japan announced that it would permit the cryptocurrency industry to self-regulate. [read post]
11 Feb 2019, 11:30 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]
11 Feb 2019, 6:37 am
Pandya, chief financial officer. [read post]
11 Feb 2019, 5:37 am
In her essay, Professor Iannarone discusses the public availability of arbitration decisions arising out of the Financial Industry Regulatory Authority (“FINRA”) forum. [read post]
9 Feb 2019, 12:37 pm
A Financial Industry Regulatory Authority Panel in Florida Ruled in Assessing $25K in Punitive Damages Rafael Golan and Crystal Bay Securities have been assessed $25,000 in punitive damages by the Financial Industry Regulatory Authority panel in Florida, the aforementioned Reports note. [read post]
9 Feb 2019, 6:43 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, Elizabeth Marie Garcia... [read post]
7 Feb 2019, 9:30 pm
” The proposed change would reduce federal regulatory authority under the Clean Water Act. [read post]
7 Feb 2019, 3:03 pm
Along with acting to ensure their own organization’s ability to defend their HIPAA compliance, Covered Entities and their leaders also should take advantage of the opportunity to provide input to OCR on opportunities for simplifying and improving OCR’s HIPAA regulations and enforcement by submitting relevant comments by February 12, 2019 to a Request for Information published by OCR in December that invites suggestions for simplifying or making other improvements to OCR’s… [read post]
