Search for: "Financial Industry Regulatory Authority"
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26 Jun 2022, 9:05 pm
There are many other studies proposed in the act, as well as an Advisory Committee on Financial Innovation with 10 members, including two appointed by the president from the financial technology industry, four appointed by the president with specializations in consumer protection, consumer education, financial literacy, or financial inclusion, one commissioner from the SEC, one from the CFTC, one member of the Federal Reserve Board of Governors, and one… [read post]
21 Feb 2017, 1:27 pm
On February 16, 2017, the New York Department of Financial Institutions (“DFS“) promulgated a regulation that requires “Covered Entities” to establish and maintain a cybersecurity program designed to protect consumers and the financial services industry itself (the “Regulation“). [read post]
30 Sep 2010, 6:00 am
Next month, the Financial Industry Regulatory Authority (FINRA) will file a rule proposal to expand a two-year-old Public Arbitrator Pilot Program (pilot program) which would allow all investors filing arbitration claims the option of having an all-public arbitration panel. [read post]
1 Jan 2019, 7:13 am
On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a report on cybersecurity practices for broker-dealers. [read post]
12 Mar 2019, 2:23 pm
Gennity, whom the Financial Industry Regulatory Authority (FINRA) had earlier suspended, will pay nearly $128K in disgorgement, nearly $15K in prejudgment interest, and a $160K civil penalty. [read post]
4 Apr 2022, 7:43 am
Broker Francis Velten has Investor Disputes for Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA), Francis Velten (CRD#: 2291911) was named a respondent in a FINRA complaint alleging that he failed to respond in any way to FINRA’s requests for information in connection with its investigation into an allegation that he churned and flipped his elderly customers’ accounts at his member firm, allegedly… [read post]
17 Jun 2020, 10:25 am
SagePoint Financial has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $1.3 million in restitution to customers for alleged failings related to unit investment trusts (UITs). [read post]
25 Jun 2015, 2:41 pm
Shaikh (“Shaikh”) submitted a Letter of Acceptance Waiver and Consent (“AWC”) to settle allegations by the Financial Industry Regulatory Authority (“FINRA”) that they collectively failed to maintain a reasonable supervisory system at E1 Asset Management. [read post]
8 Jan 2018, 8:13 am
According to a BrokerCheck provided by The Financial Industry Regulatory Authority (FINRA), the primary regulator for securities broker dealers, many of the complaints concern alternative investments. [read post]
24 Dec 2019, 9:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Katherine Nishnic (Nishnic), currently associated with Centaurus Financial, Inc. [read post]
23 Jul 2020, 6:50 am
FINRA Investigates Stephen Sloane for Allegations of Unsuitable Short-Term Trading According to public records on the Financial Industry Regulatory Authority’s website and various reports, financial advisor Stephen Sloane was named a respondent in a FINRA complaint alleging that he recommended an unsuitable investment strategy to retail customers. [read post]
13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
13 Nov 2019, 5:48 am
Robert David Meyers, a previously registered General Securities Representative has been suspended by the Financial Industry Regulatory Authority (FINRA) on the allegations of participating in private securities transaction, which is in violation of FINRA Rule 3280 and 2010, according to an investigation by investor rights attorney, Alan Rosca. [read post]
7 Sep 2012, 12:00 am
“Financial regulation reforms should also focus on altering the current regulatory dynamic and structure to eliminate regulator incentives to forbear enforcement at early signs of trouble at large financial institutions. [read post]
9 Apr 2024, 9:33 am
On 9 April 2024, the Financial Conduct Authority (FCA) published Consultation Paper CP24/6 on the rules that enable the FCA to raise regulatory fees and levies in 2024/2025 to fund the FCA and the Financial Ombudsman Service (FOS). [read post]
19 Mar 2019, 6:12 am
By John Filar Atwood The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) are seeking public input on the appropriate way to regulate Canadian platforms that trade crypto-assets. [read post]
14 Jan 2021, 8:43 am
Former Aegis Advisor Steven Luftschein (Steven Lerner) Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Aegis Capital Corp. advisor Steven Robert Luftschein (also known as Steven Lerner), after allegations that he churned and excessively traded the accounts of three of his customers. [read post]
13 Oct 2021, 11:17 am
” The proposed model rules will provide a basis for enforcement actions to address unpaid Financial Industry Regulatory Authority (FINRA) arbitration awards by allowing NASAA member jurisdictions to “prevent the registration of firms and individuals in any capacity if the firm or individual has an outstanding arbitration award. [read post]
26 Jul 2021, 10:29 pm
Feel free to get in touch with the authors if you have a question. [read post]
12 Aug 2020, 4:00 am
Robert James D’Andria of Manasquan, New Jersey submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for unsuitable recommendations in violation of FINRA Rule 2111 and 2010. [read post]
