Search for: "Financial Industry Regulatory Authority"
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20 Apr 2023, 12:45 pm
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self- regulator that oversees brokers and brokerage firms, has censured and fined Regal Securities (CRD # 7297) for supervisory issues. [read post]
10 Jun 2014, 6:20 am
The European Securities and Markets Authority (ESMA), the regulator responsible for enforcing European securities regulation, declared in its ESMA Final Report and Feedback Statement on the Consultation Regarding the Role of the Proxy Advisory Industry in February 2013, to favor a self-regulatory approach over mandatory regulation of the industry. [read post]
19 Jul 2012, 6:27 am
The new rule will require member firms to file certain disclosure documents and material amendments to previous disclosure documents with the Financial Industry Regulatory Authority, Inc. [read post]
18 Mar 2021, 1:10 pm
The Financial Industry Regulatory Authority (FINRA), in cooperation with AARP and Heart+Mind Strategies, recently released a report highlighting the risk of senior investment fraud. [read post]
28 Oct 2020, 6:00 am
” This is an important message that the Financial Industry Regulatory Authority (FINRA) wants all individual investors to know. [read post]
21 Jun 2017, 9:20 am
FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. [read post]
4 Dec 2023, 1:45 pm
FINRA Fines BofA for Spoofing in Treasuries Market The Financial Industry Regulatory Authority (FINRA), the securities regulator, has reportedly sanctioned BofA Securities with a censure and a $24 million fine for over 717 instances of spoofing. [read post]
18 Sep 2020, 9:48 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
21 Jun 2017, 9:20 am
FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. [read post]
15 Nov 2016, 3:33 pm
The Financial Industry Regulatory Authority (FINRA) announced that it has fined eight brokerage a total of $6.2 million for failing to supervise sales of variable annuities (VAs). [read post]
20 Nov 2017, 12:08 pm
FINRA Censures First Allied Securities for Mutual Fund Sales charge waivers According to the Financial Industry Regulatory Authority, First Allied Securities, Inc. [read post]
31 Dec 2014, 6:45 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Jason Muskey for failing to respond to the regulator’s requests for information. [read post]
15 Nov 2017, 6:48 am
According to the Financial Industry Regulatory Authority, Cetera Investment Services LLC (CRD #15340, St. [read post]
26 Sep 2022, 8:59 am
Appelbaum reportedly agreed to sanctions by the Financial Industry Regulatory Authority to be barred from the securities industry after he allegedly failed to provide information in its investigation. [read post]
27 Apr 2012, 10:09 am
Structured regulatory cooperation among national authorities. [read post]
28 Sep 2015, 8:43 am
Stephen Vobril, a former Northwestern Mutual Life Insurance broker, was barred from working in the securities industry after failing to respond to inquiries made by the Financial Industry Regulatory Authority. [read post]
10 Mar 2019, 10:03 am
However, despite having these stringent regulatory measures over this sector, there has been a spurt in the number of scams happened and the associated arrests by the authorities in India. [read post]
13 Sep 2022, 9:21 am
FINRA Reportedly Investigates Anchorage Financial Advisor Ronald Bailey for “Selling Away” According to a FINRA complaint on July 8, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly recommend that disciplinary action be brought against Ronald Coy Bailey (CRD #6270312) alleging violation of FINRA Rules 3280 and 2010 for in a private securities transaction without first receiving permission from, his member firm. [read post]
20 Dec 2023, 7:19 am
Ameriprise Advisor Eric Kubiak Barred after Allegations of Outside Business Activities According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Eric Kubiak (CRD#: 4637674) after allegations of potential involvement with undisclosed Outside Business Activities, including those potentially related to crypto assets. [read post]
15 Jul 2014, 6:27 am
As reported by InvestmentNews, the Financial Industry Regulatory Authority (FINRA) charged Mustaphalli for founding and receiving commissions from a hedge fund he created called Mustaphalli Capital Partners in or about 2011 without informing his. [read post]
