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12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 1:34 pm
Twitter, Inc. [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [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]
4 Apr 2022, 3:45 am
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]
2 Apr 2022, 12:37 pm
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Geneos Wealth Management, Inc. [read post]
31 Mar 2022, 10:51 am
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
31 Mar 2022, 8:46 am
FINRA Reportedly Suspends Aegis Broker Scott Hananel for Excessive, Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended Scott Neil Hananel (CRD#: 3080827) for 15 months and fined him $7,500 in connections with allegations that he engaged in excessive and unsuitable trading in Aegis accounts of six of his customers between July 2014 and December 2018. [read post]
29 Mar 2022, 5:04 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
23 Mar 2022, 9:44 am
Marc Reda Allegedly Recommended Unsuitable Trading Strategy to Clients According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), Broker Marc A. [read post]
22 Mar 2022, 11:04 am
FINRA Reportedly Censures and Fines BD4RIA Inc. for withholding Material information involving GPB Holdings II LP According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has reportedly censured and fined BD4RIA Inc. $45,000 after the firm allegedly negligently failed to inform seven clients important facts pertaining to a GPB Capital offering. [read post]
21 Mar 2022, 11:09 am
FINRA Censures and Fines Geneos Wealth Management for Rules Violations involving LJM Funds & GPB Funds According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has censured and fined Geneos Wealth Management $150,000 after the firm allegedly failed to supervise recommendations of the high-risk LJM Preservation and Growth Fund (LJM). [read post]
21 Mar 2022, 6:35 am
According to the Financial Industry Regulatory Authority, Blumberg has been the broker of record for at least four (4) customer disputes. [read post]
18 Mar 2022, 8:56 am
SCA is a new set of rules that the Financial Conduct Authority adopted in 2019 to help protect consumers from fraud when they are shopping online. [read post]
11 Mar 2022, 11:36 am
Duties include: (1) providing advice and services related to regulatory and environmental law, tribal law, civil works planning, federal procurement law, non-contractual or contractual claims, personnel and discrimination law, litigation matters, general law and preventive law; (2) drafting resolutions, motions and ordinances for tribal law; (3) interpreting regulations, laws and policies; (4) identifying potential conflicts and issues, conducting necessary legal… [read post]
11 Mar 2022, 10:05 am
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
9 Mar 2022, 7:47 pm
Among other things, the Proposed Rule will require that public companies: Amend Form 8-K to require registrants to disclose information about a material cybersecurity incident within 4 business days after the registrant determines that it has experienced a material cybersecurity incident;Add new Item 106(d) of Regulation S-K and Item 16J(d) of Form 20-F to require registrants to provide updated disclosure relating to previously disclosed cybersecurity incidents and to require… [read post]
4 Mar 2022, 12:11 pm
Our broad, interdisciplinary Education Industry Group recognizes that the legislative and regulatory environment presents challenges that require focused, client-specific solutions. [read post]
4 Mar 2022, 9:57 am
In any nascent industry, the question is always build vs. buy. [read post]
