Search for: "Financial Industry Regulatory Authority"
Results 4641 - 4660
of 11,230
Sort by Relevance
|
Sort by Date
24 Oct 2018, 2:04 am
Few things are more frustrating for Wall Street's customers than to believe that they were victimized by one of the industry's large broker-dealers and then find out that their disputes must be adjudicated via mandatory arbitration before the Financial Industry Regulatory Authority ("FINRA"). [read post]
23 Oct 2018, 3:14 pm
Alternatively, if the QOF has no financial statements, then the test will be based on the cost of the assets. [read post]
23 Oct 2018, 11:13 am
According to recent information released by the securities industry watchdog, FINRA (Financial Industry Regulatory Authority), over his long 35 year career with major brokerage houses including Stifel and most recently Wells Fargo, former Certified Financial Planner John Gregory Schmidt formed close personal relationships with elderly and infirm clients in order to win their trust and steal their money.Several Clients Had Alzheimer’s or… [read post]
22 Oct 2018, 7:01 am
No stranger to the CFTC or the derivatives industry. [read post]
19 Oct 2018, 6:48 am
UBS Wins FINRA Mandatory Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4258/frumento-sears/UBS-FINRA-Tax/Few things are more frustrating for Wall Street's customers than to believe that they were victimized by one of the industry's large broker-dealers and then find out that their disputes must be adjudicated via mandatory arbitration before the Financial Industry Regulatory Authority ("FINRA"). [read post]
19 Oct 2018, 6:47 am
Kulwant Singh Sandhu, a/k/a Ken Sandhu, Defendant/Appellant (Memorandum, United States Court of Appeals for the Ninth Circuit, 17-10265)http://www.brokeandbroker.com/PDF/Sandhu9Cir.pdfDefendant Sandhu was convicted by jury in the Eastern District of California on two counts of making harassing telephone calls to the Securities and Exchange Commission and the Financial Industry Regulatory Authority in violation of 47 U.S.C. [read post]
18 Oct 2018, 12:48 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Puliafico has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
18 Oct 2018, 12:20 pm
Meantime, the Financial Industry Regulatory Authority suspended her after she failed to cooperate with its probe into misconduct allegations. [read post]
18 Oct 2018, 5:37 am
The other question is whether the delay was more than an inconvenience and, perhaps, crossed over the line into a regulatory violation or worse.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, public customer Claimant Marsha M. [read post]
17 Oct 2018, 4:19 pm
In addition to HIPAA’s Security Rules for ePHI, HIPAA Entities typically also are subject to a hodgepodge of non-HIPAA statutory, regulatory and/or contractual obligations to safeguard patient, employee, business partners and other individual, financial, health, tax, peer review and credentialing, trade secrets and other confidential information against improper use, access, destruction or disclosure. [read post]
17 Oct 2018, 9:51 am
Other difficulties concern the divergence and enforcement of regulatory standards, trade remedies and dispute settlement. [read post]
16 Oct 2018, 3:55 pm
About The Author A practicing attorney and Managing Shareholder of Cynthia Marcotte Stamer, P.C, Cynthia Marcotte Stamer’s more than 30 years’ of leading edge work as an practicing attorney, author, lecturer and industry and policy thought leader have resulted in her recognition as a “Top” attorney in employee benefits, labor and employment and health care law. [read post]
16 Oct 2018, 8:06 am
The Financial Industry Regulatory Authority has barred another former Morgan Stanley (MS) broker. [read post]
15 Oct 2018, 2:18 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2018 Siegel was subject to a regulatory complaint by the Massachusetts Securities Division alleging that Siegel published false information on his website and failed to update this information for at least seven years. [read post]
15 Oct 2018, 1:37 pm
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, associated person Claimant Dachtler sought the expungement from his Central Registration Depository record ("CRD") of a settled FINRA ar... [read post]
15 Oct 2018, 1:00 pm
FINRA Broker Disciplinary Action Report October 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
14 Oct 2018, 9:03 pm
Ideas for regulatory authorities included trialing use of a single organization to deliver all official controls in a geographic location, assess the role of agents and brokers of meat and controls applied at this part of the distribution network and more effective use of data and improved regulatory coordination and consistency. [read post]
11 Oct 2018, 5:03 pm
The Financial Industry Regulatory Authority barred Schmidt in March. [read post]
11 Oct 2018, 4:35 pm
Global innovation foundation Nesta is trying to promote this type of regulation in the UK, but more importantly, this model has been successfully applied in the financial sector with the establishment of ‘regulatory sandboxes’ by the UK’s Financial Conduct Authority in 2016. [read post]
11 Oct 2018, 10:58 am
The Financial Industry Regulatory Authority announced this week that it is barring three former brokers. [read post]
