Search for: "Financial Industry Regulatory Authority"
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14 Aug 2018, 12:26 pm
Open Letter to the Financial Industry Regulatory Authority'sPresident and Chief Executive Officer Robert Cook, Chairman of the Board Bill Heyman, and Board of GovernorsOn August 14, 2018, the BrokeAndBroker.com Blog published "Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA" (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/4133/finra-dissent-hasko/, which analyzed the… [read post]
14 Aug 2018, 6:00 am
Further, RegTech will not only impact the financial institutions, but will also trickle down to affect industries such as the health care and insurance industry. [read post]
13 Aug 2018, 8:51 am
According to a new study by securities industry watchdog, FINRA, the Financial Industry Regulatory Authority, the number of so-called "hybrid" brokers has exploded in recent years, now comprising 45% of all brokers. [read post]
10 Aug 2018, 12:55 pm
Herrera – UBS Financial Services – Coral Gables, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Alex G. [read post]
10 Aug 2018, 9:44 am
The Financial Industry Regulatory Authority (FINRA) has barred former Comprehensive Asset Management broker Pamela Shuttleworth, from the securities industry. [read post]
10 Aug 2018, 2:39 am
In response to the March 21, 2017, Financial Industry Regulatory Authority ("FINRA") "Special Notice: Engagement Initiative / FINRA Requests Comment on Potential Enhancement to Certain Engagement Programs / Comment Period Expires May 5, 2017," BrokeAndBroker.com Blog publisher Bill Singer submitted a comment on May 30, 2017. [read post]
9 Aug 2018, 9:30 pm
Bureau of Consumer Financial Protection (BCFP), the United Kingdom’s (UK) Financial Conduct Authority, and 10 other international regulators announced the creation of the Global Financial Innovation Network (GFIN). [read post]
9 Aug 2018, 2:05 pm
Securities Fraud Investigation – Bradley Reifler – Forefront Capital Markets – New York, NY According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Bradley Reifler from the securities industry. [read post]
9 Aug 2018, 12:30 pm
The US Court of Appeals for the Third Circuit [official website] ruled [opinion, PDF] Tuesday that banks must comply with the Financial Industry Regulatory Authority (FINRA) [official website] rules requiring the arbitration of all claims brought against them by customers, breaking from two 2014 decisions issued by the Second and Ninth [official websites] Circuits. [read post]
8 Aug 2018, 12:10 pm
Flynn (Jim Flynn) – Voya Financial Advisors – Securities Fraud Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended financial advisor Jim Flynn as of June 25, 2018, from associating with any FINRA member firm in any capacity. [read post]
8 Aug 2018, 9:08 am
National supplies Fortress with 700 brokers, of whom almost a third have been flagged by regulators such as the Financial Industry Regulatory Authority (FINRA) and others. [read post]
8 Aug 2018, 9:05 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Robert W. [read post]
7 Aug 2018, 3:16 pm
Financial Conduct Authority (FCA) against three different U.K. insurers. [read post]
7 Aug 2018, 3:16 pm
Financial Conduct Authority (FCA) against three different U.K. insurers. [read post]
6 Aug 2018, 2:24 pm
On July 30, 2018, the Financial Industry Regulatory Authority (“FINRA“) published a Special Notice, in response to requests from the public, “seeking comments on how FINRA can support fintech development consistent with [its] mission. [read post]
6 Aug 2018, 10:28 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]
3 Aug 2018, 9:03 am
., a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities Exchange Commission (“SEC”), as well as Merrill Lynch International Finance, Inc. [read post]
3 Aug 2018, 6:49 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Newbridge Securities Corporation (Newbridge Securities) broker Edward Klug (Klug) left the securities industry in May 2018 after disclosing several large tax liens in the prior years. [read post]
3 Aug 2018, 3:46 am
A form of temporary or limited permission is nothing new in the UK financial services industry. [read post]
2 Aug 2018, 12:59 pm
The Financial Industry Regulative Authority (FINRA) provides this information to the public because it is material for consumers to know whether or not their advisor’s financial situation influences the advisor’s recommendations. [read post]
