Search for: "Financial Industry Regulatory Authority"
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27 Jul 2018, 7:54 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) David Scholl (Scholl) appears to be an agent for Woodbridge fraudulent note sales. [read post]
27 Jul 2018, 7:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Werthe has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
26 Jul 2018, 11:40 am
Hayes entered the securities industry in 2005. [read post]
26 Jul 2018, 9:00 am
Nevertheless, the overall prospect of regulatory reform/evolution at the federal level is exciting to the fintech industry and its investors regardless of which agency champions that reform. [read post]
26 Jul 2018, 6:50 am
., Investment Centers of America, SSII Investments, INVEST Financial Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four National Planning firms for failure to establish, maintain and enforce a supervisory system in regards to variable annuities. [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]
25 Jul 2018, 12:52 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
25 Jul 2018, 7:28 am
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system… [read post]
24 Jul 2018, 9:30 pm
The Court’s decision has birthed what is projected by some to be a multi-billion dollar revenue stream not only for casinos, racetracks, and sports pool operators, but also for a wide variety of technology and financial industry companies, including software developers, sports information services, data analytics, geo-location, identity verification, and payment processing companies that will play roles in the development of online and mobile sports wagering applications. [read post]
24 Jul 2018, 1:40 pm
Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000 due to Milakovich’s misconduct, including unsuitable recommendations, unauthorized trading, negligence, breach of fiduciary duty, and churning. [read post]
24 Jul 2018, 12:21 pm
Blockchain technology has the potential to revolutionise many industries; it has been said that “blockchain will do to the financial system what the internet did to media”. [read post]
24 Jul 2018, 7:58 am
The provincial government introduced the rules in 2015, which create a list of unlicensed sites that ISPs must block or face financial penalties. [read post]
24 Jul 2018, 6:36 am
The bill would strike from Dodd-Frank the provision that sets a five-year term for the Director and places a “for-cause” limit on the President’s authority to remove the Director. [read post]
23 Jul 2018, 10:39 pm
Infinex also operates in other states and, according to the Financial Industry Regulatory Authority (“FINRA”), is licensed to operate in 53 U.S. states and territories. [read post]
23 Jul 2018, 2:11 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that Fifth Third Securities has agreed to pay $6 million in fines and restitution for disclosure violations and fraudulent investment recommendations. [read post]
23 Jul 2018, 11:42 am
Investors in unregistered Woodbridge First Position Commercial Mortgages (“FPCMs”) notes and/or units upon the recommendation of former financial advisor Jerry Davis Raines (CRD# 4578689, hereinafter “Raines”) may be able to recover losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
23 Jul 2018, 10:18 am
According to his online records with the Financial Industry Regulatory Authority (FINRA,) Corbman has been permanently barred from the securities industry. [read post]
23 Jul 2018, 10:16 am
Margaret Mulligan Black, according to publicly available records with the Financial Industry Regulatory Authority (FINRA), is not currently registered as a broker. [read post]
23 Jul 2018, 6:07 am
BrokeAndBroker.com Blog publisher Bill Singer wonders if the industry self-regulatory-organization, the Financial Industry Regulatory Authority, will take any regulatory action against its large member firm. [read post]
