Search for: "Financial Industry Regulatory Authority"
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12 Aug 2022, 11:23 am
By then, the Federal Trade Commission had already held a 2007 workshop on behavioral advertising and, in 2009, released a staff report with industry self-regulatory principles for online behavioral advertising. [read post]
1 Oct 2022, 8:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
14 Feb 2021, 7:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) High was employed by Crown Capital Securities, L.P. through October 2017. [read post]
15 Sep 2021, 5:48 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Hutkin’s customer complaints allege that Hutkin recommended unsuitable investments, engaged in churning, overcharged certain corporate security debts, and engaged in unapproved outside business practices. [read post]
14 Sep 2022, 12:32 pm
According to records kept by the Financial Industry Regulatory Authority (FINRA), Lippman customer complaints allege that Lippman engaged in unsuitable investment practices. [read post]
21 Sep 2022, 5:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Martino’s customer complaints alleges that Martino recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts, including fraud and misrepresentation. [read post]
21 Nov 2016, 7:38 am
Blockchains have the potential to change the operational and financial models of many industries, because of their ability to save costs and streamline operational processes. [read post]
25 Jul 2019, 1:23 pm
The US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are reportedly investigating GPB, as is the Federal Bureau of Investigation, which raided the GPB office in New York earlier this year. [read post]
4 Oct 2009, 1:14 pm
One consequence of the current economic crisis that has long seemed inevitable is some form of legislative overhaul of the financial regulatory system. [read post]
19 Mar 2020, 11:48 am
In what may be entirely unprecedented, the New York Department of Financial Services (NYDFS), the insurance regulatory body for insurers operating in New York, has ordered that all property and casualty insurers authorized to issue policies in New York to provide details on the business interruption coverage provided in the types of policies for which it has ongoing exposure for COVID-19 related losses. [read post]
24 May 2024, 7:34 am
While the inquiry certainly created momentum around the discussion, the current government does not intend to push forward legislative changes, and the two regulators (the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA)) are still deep in review of their policy direction, although they have set some expectations about their priorities. [read post]
6 Dec 2011, 9:07 am
., has been fined and suspended by the Financial Industry Regulatory Authority, or FINRA, for her failure to supervise a sales assistant who misappropriated almost $750,000 from customers. [read post]
27 Apr 2022, 7:57 am
Censured & Fined for Failure to Supervise Unsuitable Options Trading According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Berthel Fisher & Co. [read post]
5 Jan 2021, 8:41 am
Previously registered broker Brian Radoo has been barred by the Financial Industry Regulatory Authority (FINRA) for allegedly refusing to provide documents and information requested by FINRA following an investigation into whether Radoo engaged in an undisclosed outside business activity, according to an investigation by investor rights attorney, Alan Rosca. [read post]
5 Jan 2021, 8:41 am
Previously registered broker Brian Radoo has been barred by the Financial Industry Regulatory Authority (FINRA) for allegedly refusing to provide documents and information requested by FINRA following an investigation into whether Radoo engaged in an undisclosed outside business activity, according to an investigation by investor rights attorney, Alan Rosca. [read post]
2 Aug 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains an archive of frequently asked questions regarding the application of FINRA Rule 2080 relating to the disclosure of customer dispute information. [read post]
21 Feb 2013, 7:00 am
The SEC agreed to a proposed change to the Financial Industry Regulatory Authority's arbitration rules relating to subpoenas and orders directed towards non-party FINRA members and their associated persons. [read post]
10 Nov 2014, 7:56 am
This push for new authority, however, fails to account for several existing legal requirements. [read post]
11 Oct 2011, 9:27 am
Oct. 6 (Bloomberg) -- A Citigroup Inc. unit sued two Saudi investors seeking to block Financial Industry Regulatory Authority arbitration of their $383 million claim that the bank “wiped out” their family’s wealth. [read post]
14 Jul 2011, 2:13 pm
In addition, the Appliance Labeling Rule, 16 CFR Part 305, will be reviewed in 2012 instead of 2018.The Commission also removed nine matters from its regulatory review schedule because authority to modify or repeal them will be transferred to the Consumer Financial Protection Bureau in 2011. [read post]
