Search for: "Financial Industry Regulatory Authority"
Results 4621 - 4640
of 11,230
Sort by Relevance
|
Sort by Date
31 Oct 2018, 12:41 pm
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures over a three year period. [read post]
31 Oct 2018, 12:13 pm
Within 30 days of the broker’s termination, the brokerage dealer must file a Form U-5 with the Financial Industry Regulatory Authority pursuant to Article V, Section 3 of the FINRA by-laws. [read post]
31 Oct 2018, 3:07 am
Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bruce Plyer from the securities industry. [read post]
29 Oct 2018, 12:00 am
As regulation develops, the eyes of the crypto industry will look to financial regulators around the world to understand how they can operate within these emerging landscapes. [read post]
27 Oct 2018, 6:00 am
Unsurprisingly, sleep-related AI found few supporters among existing sleep specialists, who perceived a threat to their authority and revenue. [read post]
26 Oct 2018, 11:47 am
Hightower also reportedly concealed from his clients that the Financial Industry Regulatory Authority (FINRA) had barred him from acting as a broker or otherwise associating with a broker-deal firm in October 2015, according to the indictment. [read post]
26 Oct 2018, 10:46 am
The Corps has significant regulatory and enforcement authority under the CWA. [read post]
26 Oct 2018, 7:13 am
FIA seeks regulatory clarity. [read post]
25 Oct 2018, 9:30 pm
” Japan’s Financial Services Agency granted self-regulatory status to the cryptocurrency industry, certifying the Japan Virtual Currency Exchange Association (JVCEA) as the industry’s self-regulatory body. [read post]
25 Oct 2018, 1:47 pm
Publication of the Financial Industry Regulatory Authority’s (“FINRA”) rule reform by the federal Securities and Exchange Commission (“SEC”) clarifies the enhanced practice rules recently enacted to protect investors from financial exploitation. [read post]
25 Oct 2018, 11:48 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Jim Flynn from associating with any FINRA member at any time. [read post]
25 Oct 2018, 9:49 am
Charla Kabana – LPL Financial – Huntington Beach, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred California financial advisor Charla Kabana from the securities industry. [read post]
25 Oct 2018, 9:01 am
Stephen Allen Murray – Raymond James & Associates – Palm Beach Gardens, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Florida financial advisor Stephen Allen Murray from associating with any FINRA member in any capacity. [read post]
25 Oct 2018, 8:23 am
A Financial Industry Regulatory Authority panel is ordering UBS Financial Services Inc. [read post]
25 Oct 2018, 6:44 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roy Failla (Failla) has been subject to three customer complaints. [read post]
Previously Registered Broker Laurence Greene Subject to Unsuitable Oil and Gas Securities Complaints
25 Oct 2018, 6:40 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Greene has been subject to two pending customer disputes concerning unsuitable investments. [read post]
24 Oct 2018, 9:03 pm
The traditional approach centers on enforcing regulatory compliance through product testing and facility inspections with legal and financial penalties for violations. [read post]
24 Oct 2018, 6:19 pm
The Financial Industry Regulatory Authority (FINRA) is one of various authorities tasked with promoting transparency and investor safety within the retail investment industry. [read post]
24 Oct 2018, 1:02 pm
Fox Rothschild will continue to follow California’s marijuana industry rule-making process, as the state’s regulatory scheme may well become a model for other states considering legalizing adult use of marijuana. [read post]
24 Oct 2018, 11:59 am
The Financial Industry Regulatory Authority (FINRA) suspended his securities license and barred him from conducting business in the industry. [read post]
