Search for: "Financial Industry Regulatory Authority"
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3 Jan 2019, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Clinton concern allegations of unsuitable investments among other allegations. [read post]
3 Jan 2019, 9:01 am
From a business standpoint, Aetna’s SIU has proven to be financially prudent. [read post]
2 Jan 2019, 10:57 am
— [1] See Financial Industry Regulatory Authority (FINRA) Report on Digital Investment Advice https://www.finra.org/sites/default/files/digital-investment-advice-report.pdf (2016). [read post]
1 Jan 2019, 9:05 pm
The main reason for not using WGS is a lack of expertise and financial resources. [read post]
1 Jan 2019, 7:13 am
On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a report on cybersecurity practices for broker-dealers. [read post]
31 Dec 2018, 7:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the many of the customer complaints against Hughes concern allegations over variable annuity sales practices and non traded real estate investment trusts (Non-Traded REITs). [read post]
31 Dec 2018, 7:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Heath concern allegations of unsupervised record activity. [read post]
29 Dec 2018, 7:44 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaint against Bracy concerns allegations of unsuitable investments in Future Income Payments, Inc. [read post]
29 Dec 2018, 7:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Kabana concern allegations over variable annuity sales practices. [read post]
28 Dec 2018, 10:12 am
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. [read post]
28 Dec 2018, 7:15 am
http://www.finra.org/sites/default/files/fda_documents/2016051302001%20Megan%20Nina%20Weakland%20CRD%204678321%20AWC%20va.pdfFor 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, Megan Nina Weakland submitted a Letter of Acceptance, Waiver and Consent… [read post]
28 Dec 2018, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Kelly concern allegations of unsuitable investments and allegations of unauthorized trading, misrepresentations and negligence mostly in equity products. [read post]
28 Dec 2018, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Bittermann’s customer complaints allege that Bittermann made unsuitable recommendations. [read post]
27 Dec 2018, 9:30 pm
Department of Justice under the court’s Tunney Act authority. [read post]
27 Dec 2018, 8:56 am
U.S. employers and leaders with wage and hour management authority risk substantial liability from unresolved violations of the FLSA and other federal and state wage and hour laws. [read post]
26 Dec 2018, 9:30 pm
The Regulatory Review is pleased to highlight the top fifty pieces of 2018 authored by its staff contributors. [read post]
26 Dec 2018, 6:33 am
The representatives also cited concern among the blockchain industry at what the bill’s authors believe may be conflicting statements from SEC Chairman Jay Clayton and William Hinman, Director of the SEC's Division of Corporation Finance, whom they say have “alarmed” and “encouraged” the blockchain industry. [read post]
24 Dec 2018, 11:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over unapproved securities. [read post]
24 Dec 2018, 6:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
22 Dec 2018, 9:49 am
If you are an investor that has lost money because of an unsuitable margin call in your investment account, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim to try and recover your losses. [read post]
