Search for: "Financial Industry Regulatory Authority"
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16 Feb 2012, 9:50 am
Last Tuesday, the Financial Industry Regulatory Authority (FINRA) issued a watch list announcing a crackdown on ‘yield chasing’ (risky or nontraded REITs, VAs and private placements). [read post]
29 Nov 2010, 11:47 am
According to the Financial Industry Regulatory Authority (FINRA), complaints about private placements have increased 35% in this year alone and more than 50% in 2009. [read post]
29 Dec 2014, 9:30 pm
Why Should Regulators Apply Cost-Benefit Analysis to Financial Regulation? [read post]
8 Dec 2023, 11:11 am
Allegedly Accepted $3 Million Gift from Client According to the Financial Industry Regulatory Authority (FINRA), Joe David Gainer Jr. [read post]
8 Jul 2019, 7:59 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Mark Heiden from associating with any FINRA member for 6 months and fined him $5,000 and ordered him to pay restitution of more than $12,000. [read post]
20 Apr 2010, 8:44 am
” While temporary revocations of the right to use the CFP mark are increasing, the number of full-time dismissals of certificants and notifications to regulatory authorities has dropped in recent disciplinary hearings. [read post]
8 Jul 2021, 11:33 am
” Finally, consultation could help industry by reducing the degree of conflicting regulatory requirements. [read post]
17 May 2024, 11:26 am
In March 2024, Evershed Sutherland (US) LLP released its annual report (the Report) detailing disciplinary and enforcement actions initiated by the Financial Industry Regulatory Authority (“FINRA”) during the 2023 year. [read post]
29 Jul 2022, 9:18 am
Nevertheless, the Panel continued to be encouraged by the close coordination between the FCA and FRC to mitigate and manage the risks arising from regulatory overlap in responsibilities between the FCA and the proposed new statutory body (the Audit, Reporting and Governance Authority or ARGA). [read post]
31 Jan 2016, 12:33 pm
The Central Depository Registry The Financial Industry Regulatory Authority (“FINRA”) operates and maintains the Central Depository Registry (“CRD”) pursuant to its rules, and by agreement with the North American Securities Administrators Association (“NASAA”) and other securities regulators. [read post]
6 Aug 2014, 8:07 am
This post picks up our prior article concerning our investigation of claims concerning churning and failure to supervise after The Financial Industry Regulatory Authority (FINRA) made allegations stating that from September 2008, through May 2013, Newport Coast Securities, Inc. [read post]
1 Mar 2022, 9:45 am
FINRA Suspends Andrew Elsoffer Alleging Unauthorized Transactions, & other Rules Violations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended broker Andrew Elsoffer (CRD #2580009) from the securities industry for 2 years following an investigation. [read post]
12 Feb 2021, 4:55 pm
The Financial Industry Regulatory Authority (FINRA) and the U.S. [read post]
10 Oct 2014, 6:14 am
The Financial Industry Regulatory Authority (FINRA) permanently barred broker Dennis Karasik (Karasik) concerning allegations that from December 2010, to March 2012, Karasik participated in private securities transactions, otherwise known as “selling away” without providing prior written notice to the two firms with which he was associated. [read post]
27 Dec 2011, 6:56 pm
A US judge has denied Citigroup’s request that the $54.1M Financial Industry Regulatory Authority arbitration award issued to investors that sustained losses in municipal bond funds be overturned. [read post]
26 Jun 2018, 2:22 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred San Diego financial advisor Kyusun “Kenny” Kim from working in the securities industry in any capacity. [read post]
11 Apr 2024, 5:47 am
However, some experts in the art market continue to express concern, suggesting that the city may have gone too far in dismantling regulations.[21] Regardless of the intention behind it, this move marks a significant shift in the regulatory landscape governing the auction industry. [read post]
14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
24 May 2017, 5:33 am
The report describes the findings of a stocktake of efforts underway by international bodies, national authorities, industry associations and firms on the use of governance frameworks to address misconduct risk, and include a literature review on the root causes of misconduct. [read post]
23 Oct 2017, 2:23 pm
” According to publicly-available information as disclosed by the Financial Industry Regulatory Authority (“FINRA”), Michael Giokas (CRD# 1398674) has worked in the securities industry for over three decades. [read post]
