Search for: "Financial Industry Regulatory Authority"
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5 Jun 2018, 1:03 pm
Wade – US Bancorp Investments – Fullerton, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred John D. [read post]
5 Jun 2018, 11:48 am
Lyons – Raymond James & Associates – Shreveport, LA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Lyons from the securities industry. [read post]
4 Jun 2018, 11:17 am
Donnell Bowen – Northwestern Mutual Investment Services – Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Donnell Bowen from the securities industry. [read post]
4 Jun 2018, 10:04 am
In other instances, stockbrokers and financial advisors who were licensed and associated with Financial Industry Regulatory Authority (FINRA)-registered firms sold Woodbridge securities to investors, notwithstanding the fact that the Woodbridge securities were not registered. [read post]
4 Jun 2018, 7:13 am
Christopher Wendel – SA Stone Wealth Management – Investigation According to the Financial Industry Regulatory Authority (FINRA) on June 1, the regulator has barred former financial advisor Christopher T. [read post]
3 Jun 2018, 2:18 pm
NASAA is the national voluntary membership association of the securities regulatory authorities in the 50 states, the District of Columbia, Puerto Rico, and the U.S. territories, as well as the provincial and territorial authorities in Canada and Mexico. [read post]
3 Jun 2018, 6:23 am
In the end, it's hard to understand what motivates someone to stray off the path when the consequences are so onerous and the benefits seem absurdly paltry.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, ... [read post]
2 Jun 2018, 4:56 am
If you don't quite see it, though, please read today's BrokeAndBroker.com Blog.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, GrandFund Investment Group, LLC, submitted a Letter of Acceptance, Waiver ... [read post]
1 Jun 2018, 3:06 pm
., Inc. recently obtained an award from a Financial Industry Regulatory Authority (“FINRA”) arbitration panel awarding them $800,000 in damages. [read post]
31 May 2018, 6:21 pm
Section 203(l) of the Investment Advisers Act of 1940 (the “Advisers Act”), also known as the venture capital adviser exemption, provides that an investment adviser that solely advises venture capital funds is exempt from registration with the SEC under the Advisers Act. [read post]
31 May 2018, 1:49 pm
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), wi... [read post]
31 May 2018, 8:44 am
Under her bill, the Financial Industry Regulatory Authority Inc. would have to establish a fund financed by FINRA fines to cover awards that firms and brokers fail to pay to customers who win arbitration claims. [read post]
31 May 2018, 7:52 am
Serve.Case in PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, registered representative Claimant Graham sought the expungement of four customer complaints from his Central Registration Depository record (“CRD”) and $1 in compensatory damages. [read post]
31 May 2018, 6:47 am
Stoltmann Law Offices is investigating former Cetera Advisors broker Craig Blattner, who was recently fined and suspended by the Financial Industry Regulatory Authority (FINRA). [read post]
30 May 2018, 11:24 am
The updated bill will now go to the full Senate; the House’s version of the bill passed through the House Financial Services Committee last week. [read post]
30 May 2018, 9:26 am
BrokeAndBroker.com Blog readers know that our publisher Bill Singer Esq. is no fan of self-regulation or of Wall Street's leading self-regulatory-organization, the Financial Industry Regulatory Authority. [read post]
30 May 2018, 8:08 am
This problem puts EU-based industry at a disadvantage vis-à-vis manufacturers located outside the EU, not only in global markets, but also in day-1 EU markets. [read post]
30 May 2018, 7:26 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]
30 May 2018, 3:06 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), witho... [read post]
27 May 2018, 10:30 pm
Worse, the financial services industry is generally at or near the top of lists of those industries that suffer the most cyber-attacks. [read post]
