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19 Sep 2018, 9:44 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), James Wright allegedly used unapproved personal emails and text messages to communicate with an unregistered administrative assistant regarding firm customers. [read post]
19 Sep 2018, 12:00 am
Industry self-regulators, such as Financial Industry Regulatory Authority (FIRA) and the National Futures Associations (NFA), also are questioning companies about their cryptocurrency dealings. [read post]
18 Sep 2018, 9:41 am
” The White Law Group is investigating potential claims involving the following Steadfast Capital Markets Group offerings: Steadfast Apartment REIT III Steadfast Apartment REIT Steadfast Income REIT Stira Alcentra Global Credit Fund Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
17 Sep 2018, 9:58 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2018, public customer Claimants Edwin C. [read post]
17 Sep 2018, 9:17 am
The regulatory sandbox model has been deployed in other areas, particularly in the financial services sector (see here), including by the Financial Conduct Authority in the UK (see here). [read post]
16 Sep 2018, 4:40 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned Oppenheimer & Co. [read post]
16 Sep 2018, 8:06 am
And that may take a bit of financial help from either the Europeans (intimated in the PDCA) or from their friends. [read post]
14 Sep 2018, 1:35 pm
Downing (Bill Downing) – JW Cole – Securities Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred William G. [read post]
14 Sep 2018, 11:28 am
– American Independent Securities Group – Hinsdale, IL According to the Financial Industry Regulatory Authority (FINRA) on September 14, the regulator has barred financial advisor Thomas Logue Jr. from the securities industry. [read post]
14 Sep 2018, 9:10 am
Also the issue paper embraces industry and regulatory support where RBC for mutual funds within the scope of SSAP 30 and reported on Annual Statement Schedule D – Part 2-2, could be based on the underlying assets. [read post]
14 Sep 2018, 4:31 am
FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Cadaret Grant & Co. $800,000 for various supervisory issues. [read post]
13 Sep 2018, 9:30 pm
EPA proposed modifications to the 2016 New Source Performance Standards for the oil and gas industry. [read post]
13 Sep 2018, 12:21 pm
” As detailed below, the proposal would make several “industry-friendly” changes to the existing TDP Policy. [read post]
13 Sep 2018, 11:16 am
FINRA Disciplinary Action Also on Tuesday, September 11, 2018, The Financial Industry Regulatory Authority filed its first disciplinary action involving cryptocurrencies against a Massachusetts broker, claiming that he fraudulently sold HempCoins without registering them with the Securities and Exchange Commission, and that he engaged in the offer and sale of unregistered securities in contravention of Section 5 of the Securities Act of 1933 and thereby in… [read post]
12 Sep 2018, 11:46 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
12 Sep 2018, 10:06 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Musso has been subject to six customer disputes, one of which is still pending. [read post]
12 Sep 2018, 10:04 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Ginsberg has been subject to two pending customer disputes concerning unsuitable alternative investments. [read post]
12 Sep 2018, 8:32 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA). [read post]
12 Sep 2018, 7:44 am
The Financial Industry Regulatory Authority (FINRA) has barred three former brokers who failed to take part in the self-regulatory authority’s probe into allegations of wrongdoing. [read post]
12 Sep 2018, 7:24 am
The Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo (WFC) broker Edward O. [read post]
