Search for: "Financial Industry Regulatory Authority"
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10 Oct 2018, 10:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Valenzuela concern excessive trading of unit investment trust (UITs) securities. [read post]
9 Oct 2018, 11:57 pm
It reasoned that the County’s 2016 Guidelines were analogous to the Bay Area Air Quality Management District’s CEQA Guidelines in California Building Industry Assn. v. [read post]
9 Oct 2018, 2:33 am
FINRA MATTERS FINRA Charges Broker with Fraud and Unlawful Distribution for Token Offering On September 11, the Financial Industry Regulatory Authority (“FINRA”) charged a broker in connection with a token offering. [read post]
8 Oct 2018, 9:30 pm
The U.S. approach to regulating the industry has been to work with its current laws rather than introduce new ones. [read post]
8 Oct 2018, 3:08 pm
Following the JSR, steps were taken to improve regulators’ access to information on Treasury market activity, as detailed in a previous Liberty Street Economics post, with Financial Industry Regulatory Authority (FINRA) members beginning to submit data on cash market transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE) on July 10, 2017. [read post]
8 Oct 2018, 10:52 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Erik Pica (Pica) has been subject to three customer complaints. [read post]
8 Oct 2018, 10:51 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dana Davis (Davis) has been subject to seven customer complaints and one termination for cause. [read post]
8 Oct 2018, 10:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Cavanagh concern allegations of unsuitable investments, breach of fiduciary duty, and fraud. [read post]
6 Oct 2018, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Barber customer complaints allege that Barber made unsuitable recommendations in equity securities. [read post]
6 Oct 2018, 10:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Michna has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
6 Oct 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Philip Nalesnik (Nalesnik), formerly associated with LPL Financial, LLC (LPL Financial) in Pottsville, Pennsylvania was terminated by the firm. [read post]
6 Oct 2018, 6:04 am
From the securities and commodities industry to the financial services industry, cryptocurrencies face a variety of regulatory hurdles. [read post]
5 Oct 2018, 11:44 am
Following on the heels of a recent report by the NASAA, a group responsible for monitoring the securities industry, which showed that many broker-dealers are not doing enough to monitor “rogue brokers” with a history of multiple indiscretions on their permanent records, news broke recently that supervision of brokers may be further eroded if changes proposed by the Financial Industry Regulatory Authority (FINRA) are passed into official… [read post]
5 Oct 2018, 8:51 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former advisor Suhail Khan , formerly registered with LPL Financial, LLC in Chicago, Illinois. [read post]
4 Oct 2018, 5:20 pm
The rise of financial technology (fintech) is rapidly changing the financial services industry, in the U.S., in the U.K. and elsewhere. [read post]
4 Oct 2018, 2:24 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Chiellini’s customer complaints allege that Barber made unsuitable recommendations in certain corporate debt or other securities. [read post]
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]
