Search for: "Financial Industry Regulatory Authority"
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6 Jan 2011, 6:57 am
The Financial Industry Regulatory Authority, as part of its enforcement focus on misconduct in the sale of private placements, Dec. 17 said it plans to propose rule amendments to extend its… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
25 Jul 2018, 2:47 pm
” The “Financial Technology Protection Act,” (H.R. 5036), would create an “Independent Financial Technology Task Force” to “conduct independent research on terrorist and illicit use of new financial technologies, including digital currencies” and “develop legislative and regulatory proposals to improve counter-terrorist and counter-illicit financing activities. [read post]
17 Jul 2014, 7:18 am
On June 16, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for charging excessive fees relating to the sales of mutual funds in retirement accounts. [read post]
8 Aug 2016, 1:48 pm
The Financial Industry Regulatory Authority (FINRA) announced on August 1 that it has filed a complaint against Hank M. [read post]
11 Oct 2022, 5:03 am
FINRA Alerts Firms about Fraudulent Transfer of Customer Accounts thru ACATS According to a special notice issued by the Financial Industry Regulatory Authority (FINRA), the regulator is alerting brokerage firms about a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the… [read post]
6 Mar 2019, 5:00 am
In an Investor Alert, the Financial Industry Regulatory Authority and the US Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) sought to inform investors about the risks involved in securities-backed lines of credit (SBLOCs). [read post]
9 Oct 2013, 7:00 am
The Financial Industry Regulatory Authority (FINRA) suspended broker Anthony Mediate (Mediate) for 60 days concerning allegations of excessive trading (churning) and unauthorized trading. [read post]
2 Jan 2014, 5:40 am
(SII) was recently suspended for two years and fined $60,000 by The Financial Industry Regulatory Authority (FINRA) over allegations that Renard: (1) recommended that at least four customers buy and hold nontraditional ETFs without having reasonable grounds for believing that the recommended investments were suitable for those customers; (2) distributed at least nine independently prepared reprints to customers without Ameriprise’s review and approval;… [read post]
7 Jun 2017, 2:35 pm
Panel Bars Jim Seol for Failing to Disclose $100 Million in EB-5 Investments According to The Financial Industry Regulatory Authority (FINRA), a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in private securities transactions, engaging in undisclosed outside business activities, and for making misrepresentations to his employer in compliance questionnaires. [read post]
30 Apr 2015, 1:44 pm
On April 28, 2015 the Financial Industry Regulatory Authority Department of Enforcement filed a complaint against Mr. [read post]
24 Jan 2023, 6:53 am
According to a Letter of Acceptance Waiver and Consent on January 20, 2023, the Financial Industry Regulatory Authority (FINRA) censured and fined Paulson Investment Co. $150,000 and ordered the firm to pay more than $185,000 in restitution for supervisory failures related to the sale of structured products. [read post]
22 Jan 2014, 5:53 am
(Rives) was recently sanctioned by the the Financial Industry Regulatory Authority (FINRA) over allegations that the firm disseminated to the investing public 29 advertisements including newspapers, brochures, offering documents, and pastor letters related to church bond investments that failed to comply with FINRA’s advertising rules. [read post]
9 Dec 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. [read post]
30 Jun 2020, 5:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Burkoff’s one of customer complaints alleges that Burkoff recommended unsuitable investments in various investments such structured products among other allegations of misconduct relating to the handling of their accounts. [read post]
29 Aug 2018, 9:07 am
FINRA, the Financial Industry Regulatory Authority, has filed a disciplinary action against Hotton which is still pending. [read post]
3 Feb 2019, 9:46 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Wilson’s customer complaints allege that Wilson committed violations of the securities laws with respect to the sale of predominately private placement securities. [read post]
31 May 2020, 3:34 pm
Odijie, Is traditional industrial policy defunct? [read post]
29 Jan 2014, 10:02 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Jamie Diaz (Diaz) concerning allegations that form December 2009, through November 2011, Diaz engaged in securities fraud through deceptive and manipulative devices to convert approximately $850,000 from four customers. [read post]
13 Apr 2020, 8:23 am
FINRA Broker Disciplinary Action Report: March 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
9 Jun 2016, 3:28 pm
Of course, not every company is subject to the CFPB’s regulatory authority; the CFPB regulates entities that provide consumer financial products or services, a regulatory beat that cuts a wide swath through the economy, particularly as the agency has interpreted its regulatory authority. [read post]
