Search for: "Financial Industry Regulatory Authority"
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4 Oct 2018, 7:06 am
Investors need to be aware of the potential risks of purchasing Bitcoin, including legal risks, financial risks, and regulatory risks. [read post]
3 Oct 2018, 2:40 pm
It’s over a private REIT that the Financial Industry Regulatory Authority arbitrators are ordering a Pennsylvania-based brokerage firm to pay one client over $1M in damages. [read post]
3 Oct 2018, 9:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged in conduct including unauthorized transactions and theft. [read post]
3 Oct 2018, 9:45 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Kenahan has been subject to four customer disputes, three of which are still pending. [read post]
3 Oct 2018, 9:42 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Tennison was barred from the financial industry due to a customer complaint alleging Tennison’s selling away activities during his employment at Geneos Wealth Management Inc (Geneos Wealth). [read post]
3 Oct 2018, 8:35 am
But because expertise about the financial system within in the industry outpaces that of the government, the financial sector should be formally incorporated into every step of the intelligence cycle. [read post]
3 Oct 2018, 6:00 am
The AER has limited legislative authority to oversee corporate transactions. [read post]
2 Oct 2018, 10:28 am
Danial Khan (aka Atiq Khan) – Transamerica – Covina, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Danial Khan from the securities industry in a default decision on September 27, 2018. [read post]
1 Oct 2018, 1:17 pm
Uber could have reported the issue up the line and let those with real authority decide how to handle it. [read post]
1 Oct 2018, 9:17 am
"Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admi... [read post]
1 Oct 2018, 6:45 am
According to the Financial Industry Regulatory Authority, Bennett is the broker of record for thirteen arbitration claims filed dating back to February 2013, eight of which are still pending. [read post]
1 Oct 2018, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Suhail Khan (Khan), formerly associated with LPL Financial, LLC. [read post]
28 Sep 2018, 5:07 pm
FINRA Targets Alleged Cryptocurrency Securities Fraud Recently, the Financial Industry Regulatory Authority (FINRA) announced that it is pursuing its first-ever complaint against an entity suspected of unlawfully selling cryptocurrency securities. [read post]
27 Sep 2018, 11:17 am
The Office of the Ombudsman for the Financial Industry Regulatory Authority, says that its caseload declined to 717 in 2017, a 5.2% decrease from the prior year and a 9.4% decline from the high caseload of 791 in 2015. [read post]
26 Sep 2018, 10:38 am
A single agency, however, may lack the authority and resources necessary to effectively regulate a financial sector which prides itself on decentralization. [read post]
26 Sep 2018, 12:00 am
A single agency, however, may lack the authority and resources necessary to effectively regulate a financial sector which prides itself on decentralization. [read post]
25 Sep 2018, 7:36 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Clifton Roberts (Roberts), formerly associated with LPL Financial LLC (LPL Financial) in Houston, Texas was terminated for cause by LPL Financial in April 2018 after the firm made allegations that Roberts violated of firm policy regarding outside business activities (OBAs). [read post]
25 Sep 2018, 7:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Worden Capital Management LLC (Worden Capital) broker Michael Rosalia (Rosalia) has been subject to six disclosed customer complaints, eight tax liens or judgements, and two financial disclosures including bankruptcy. [read post]
24 Sep 2018, 10:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
24 Sep 2018, 8:29 am
Robert Todd Clark – Moors & Cabot – Boston, MA According to the Financial Industry Regulatory Authority (FINRA) on September 24, 2018, the regulator has barred financial advisor Robert Todd Clark from associating with any FINRA member in any capacity. [read post]
