Search for: "Financial Industry Regulatory Authority"
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10 Jul 2023, 9:27 am
Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended financial advisor John Hoidas for 18 months and fined him $40,000 after numerous customers alleged unsuitable investment recommendations. [read post]
2 Feb 2016, 11:50 am
” Susan Axelrod, FINRA’s Executive Vice President of Regulatory Operations, added: “The financial markets are evolving rapidly and the industry must continually assess risk, exposure, and how brokers interact with customers. [read post]
21 Oct 2011, 6:03 am
On 11 October 2011, the Financial Services Authority (FSA) published its final guidance on the selling of general insurance through price comparison websites. [read post]
13 Sep 2010, 4:41 pm
The US hedge fund industry generally supports draft EU legislation requiring the clearing and reporting of derivatives. [read post]
7 Dec 2009, 2:57 pm
Last year, 13 current and ex- Financial Industry Regulatory executives made over $1 million each, even as the regulatory organization posted a $696.3 million loss ($439 million in investment losses). [read post]
19 Jun 2023, 10:30 pm
With extensive coverage, this guide provides a timely and comprehensive overview of the latest legislative and regulatory developments affecting the Fintech industry, including licensing, lending, personal data protections, anti-money laundering, and more. [read post]
11 Jan 2022, 8:25 am
Many Investors file a dispute with Financial Industry Regulatory Authority (FINRA) and request a FINRA arbitration. [read post]
17 Jul 2023, 10:00 pm
On May 12, 2023, the Financial Industry Regulatory Authority (FINRA) announced its first ever expulsion under Regulation Best Interest (BI), of member SW Financial, and a settlement with its CEO and majority shareholder, Thomas Diamante. [read post]
30 Dec 2011, 12:00 am
See related RegBlog post.The Financial Industry Regulatory Authority fined Credit Suisse $1.75 million over alleged regulatory noncompliance related to its short sale orders. [read post]
5 Nov 2020, 9:18 am
FINRA Sanctions First Clearing LLC for Failure to Provide Accurate Valuations on REITs & DPPs According to the Financial Industry Regulatory Authority (FINRA) on November 5, the regulator reportedly censured and fined broker-dealer First Clearing LLC (Wells Fargo Clearing Services, LLC CRD No. 19616) $300,000 in connection with alleged failure to provide accurate valuations on REITs & DPPs, as well as supervisory issues. [read post]
21 Aug 2020, 1:01 pm
FINRA Sanctions Moors & Cabot Inc. for Failure to Disclose $7.5 M in Compensation According to the Financial Industry Regulatory Authority (FINRA)on June 25, the regulator issued a Letter of Acceptance Waiver and Consent (AWC) to Moors & Cabot Inc., LLC (#CRD #594, Boston, Massachusetts) in which the firm was reportedly censured and fined $250,000. [read post]
30 Apr 2013, 9:34 am
For nearly two years, the Financial Industry Regulatory Authority (FINRA) has been working on revisions to Rule 2340 which would change how brokerage firms value per-share REITs on client account statements. [read post]
3 Jan 2014, 8:44 am
(“Saxony”) was recently fined $15,000 over allegations by The Financial Industry Regulatory Authority (FINRA), the regulator of securities broker-dealers, that Saxony failed to establish and maintain a supervisory system, including written procedures, regarding the sale of leveraged or inverse exchange-traded ETFs that was reasonably designed to achieve compliance with the FINRA rules. [read post]
4 Oct 2016, 7:36 am
On October 3, 2016, the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”)’s Office of Investor Education and Advocacy issued an Investor Alert announcing a new National Market System (NMS) Plan that will implement a Tick Size Pilot Program (the “Pilot”) that will widen the minimum quoting and trading increment – sometimes called the “tick… [read post]
13 Jul 2010, 9:20 am
Sutherland Asbill andamp; Brennan LLP announced that it completed its annual review of disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) in 2009.andnbsp; On June 22, 2010, FINRA issued its andldquo;2009 Year in Review.andrdquo;andnbsp; By reviewing FINRAandrsquo;s notices and releases, Sutherland Partners Deborah G. [read post]
14 Jun 2018, 7:29 am
Censured & Fined According to the Financial Industry Regulatory Authority (FINRA), on June 12, 2018, Northeast Securities Inc. [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]
30 Sep 2016, 12:41 pm
Jerome Krause, a broker with First Heartland Capital Inc. must pay $600,000 in damages to an elderly couple after allegedly stealing money from them, according to the Financial Industry Regulatory Authority Inc. [read post]
22 Feb 2018, 11:05 am
The Financial Industry Regulatory Authority (FINRA) ordered LPL to make a “very substantial” payment for the firings of an office of supervisory jurisdiction (OSJ) manager and a compliance delegate. [read post]
1 Nov 2013, 7:40 am
Thompson was replaced by Andrew Batinovich in August after the Financial Industry Regulatory Authority (FINRA) filed a complaint against Mr. [read post]
