Search for: "Financial Industry Regulatory Authority"
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14 Dec 2018, 12:31 pm
Hellman – Merrill Lynch – Boca Raton, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former advisor Christopher C. [read post]
14 Dec 2018, 10:56 am
Last Friday, the Financial Industry Regulatory Authority announced examination findings that many brokerage firms have been recommending unsuitable investments without considering the impact that cumulative fees, sales charges and commissions might have on its customers. [read post]
14 Dec 2018, 5:27 am
In 2015, New York City adopted the Car Wash Accountability Law to address concerns regarding the lack of regulatory oversight of the car wash industry and its history of underpayment of wages, unsafe practices, and environmental issues. [read post]
13 Dec 2018, 1:07 pm
The Financial Industry Regulatory Authority (FINRA) has suspended former Securities America broker Michael D. [read post]
13 Dec 2018, 12:15 pm
Beyond her public policy and regulatory affairs involvement, Ms. [read post]
13 Dec 2018, 12:04 pm
According to the Financial Industry Regulatory Authority, Knuttila has been the subject of at least two regulatory events, one employment separation and thirty-five customer complaints. [read post]
13 Dec 2018, 9:56 am
Past Chair of the ABA Managed Care & Insurance Interest Group and, a Fellow in the American College of Employee Benefit Counsel, the American Bar Foundation and the Texas Bar Foundation, heavily involved in health benefit, health care, health, financial and other information technology, data and related process and systems development, policy and operations throughout her career, and scribe of the ABA JCEB annual Office of Civil Rights agency meeting, Ms. [read post]
13 Dec 2018, 8:21 am
The EU passporting system enables banks and financial services companies that are authorized in any EU state to trade freely in any other with minimal additional authorization. [read post]
12 Dec 2018, 7:00 am
At some point in their careers, many financial professionals will find themselves in the receiving end of a subpoena from Securities and Exchange Commission, “SEC” or a Financial Industry National Regulatory Authority “FINRA” 8210 Request. [read post]
12 Dec 2018, 4:52 am
Probably not.Case In PointIn a Financial Industry Regulatory Authority ... [read post]
11 Dec 2018, 2:59 pm
Within this industry category, public company enforcement actions against Commercial Banks accounted for more than 25% of actions in FY 2018. [read post]
11 Dec 2018, 7:22 am
He was barred by the Financial Industry Regulatory Authority (FINRA) in April after he refused to testify in the self-regulatory authority’s probe into the fraud and misappropriation allegations against him. [read post]
10 Dec 2018, 3:16 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
10 Dec 2018, 7:17 am
One headhunter interviewed for the news article notes that while the majority of employers will instantly nix any prospective applicants who respond “yes” to even one of nearly six dozen questions on the Financial Industry Regulatory Authority’s (FINRA) U4 registration form, IAA won’t disqualify these individuals right off the bat. [read post]
9 Dec 2018, 4:12 pm
The ICO has analysed the initial responses to its proposals to establish a “regulatory sandbox”. [read post]
7 Dec 2018, 4:55 am
Highly valued for her rare ability to find pragmatic client-centric solutions by combining her detailed legal and operational knowledge and experience with her talent for creative problem-solving and author of “What To Do When Your Employee’s Personal Life Becomes Your Business@ and a multitude of other highly regarded works on data protection and breach, her work includes career-long, leading edge involvement counseling and representing human resources, employee benefit,… [read post]
6 Dec 2018, 1:39 pm
Most retail investors have never heard of FINRA, or the Financial Industry Regulatory Authority, until they’ve lost a lot of money due to broker misconduct or investment fraud. [read post]
6 Dec 2018, 11:55 am
The Financial Industry Regulatory Authority (FINRA) has barred yet another ex-broker for selling promissory notes that have since been linked to the $1.2B Woodbridge Ponzi scam. [read post]
6 Dec 2018, 10:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Pepe concern allegations of unsuitable investments. [read post]
6 Dec 2018, 10:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Karl Foust (Foust), formerly associated with H.D. [read post]
