Search for: "Financial Industry Regulatory Authority"
Results 4501 - 4520
of 11,298
Sort by Relevance
|
Sort by Date
24 Jan 2019, 9:30 pm
To address these issues, the authors proposed a new framework “that takes into account the regulatory regime and realities of pharmaceutical competition” and can help identify anticompetitive behavior by pharmaceutical companies. [read post]
24 Jan 2019, 2:36 pm
Along these lines, the SEC oversees a mammoth portfolio of regulatory responsibilities. [read post]
24 Jan 2019, 1:59 pm
On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) released its 2019 Risk Monitoring and Examination Priorities Letter (Regulatory Notice No. 18-20) in which it identifies topics FINRA will focus on in the coming year. [read post]
24 Jan 2019, 1:16 pm
The interim suspension comes after Templin, who is accused of bank fraud, refused to provide the Financial Industry Regulatory Authority (Finra) with information related to the allegations against him. [read post]
24 Jan 2019, 12:45 pm
UIT Switching Cost Hennion & Walsh Customers $300,000 According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Hennion & Walsh, a broker-dealer located in Parsippany, New Jersey after an investigation involving unsuitable sales of Unit Investment Trusts. [read post]
24 Jan 2019, 6:49 am
A situation where a sector regulatory authority cannot compel compliance from regulated entities cannot bode well for the sector.Scouting collecting societies...Just last week, the Federal Government unveiledthe Corporate Governance Code applicable to all public companies. [read post]
23 Jan 2019, 2:22 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Robert Jamison (Jamison), formerly associated with PNC Investments, in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
23 Jan 2019, 2:21 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Schwartz (Schwartz) has been subject to nine customer complaints, one tax lien, and one bankruptcy during his career. [read post]
23 Jan 2019, 12:33 pm
The SEC requires the seller of a variable annuity to possess a Series 6 or 7 brokerage license with the Financial Industry and Regulatory Authority (FINRA). [read post]
22 Jan 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Williams’ customer complaints allege that Williams made unsuitable recommendations in a variety of investments. [read post]
21 Jan 2019, 1:09 pm
The Financial Industry Regulatory Authority is ordering CFD Investments to pay a $125K fine over what the self-regulatory authority (SRO) found to be the inadequate supervision of its registered representatives when they sold variable annuities(VAs) to customers. [read post]
21 Jan 2019, 10:54 am
Temple was reportedly barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in October 2018 after alleged bank fraud charges came to light. [read post]
20 Jan 2019, 11:43 pm
True enough, judges are meant to focus on the quite narrow issue before them; but they have sense enough to understand the regulatory effect of the "law of the case. [read post]
20 Jan 2019, 11:25 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor George McCaffrey (McCaffrey), formerly associated with NTB Financial Corporation (NTB Financial), in September 2018, was sanctioned and suspended from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and… [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and… [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [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]
17 Jan 2019, 1:11 pm
A Financial Industry Regulatory Authority (FINRA) panel has found that ex-Royal Alliance Associates broker stole money from Cathy Carter, a 54-year-old widow suffering from a brain injury. [read post]
17 Jan 2019, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Buck from practicing in the securities industry in July 2015. [read post]
