Search for: "Financial Industry Regulatory Authority"
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17 May 2018, 12:00 pm
Reciprocal regulatory processes have been proposed for financial services. [read post]
17 May 2018, 5:09 am
For 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, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 May 2018, 10:28 am
In the Financial Times, Martin Wolf argues that President Trump's ambitious demands from China will stymie further progress. [read post]
16 May 2018, 4:37 am
BrokerCheck, run by FINRA (the Financial Industry Regulatory Authority), provides not only a work history of every registered broker in the industry, but also a history of customer complaints, disputes, and terminations.Do you read your statements? [read post]
15 May 2018, 11:11 am
Jeffrey Dragon – Berthel Fisher – Supervisory Issues – Update According to the Financial Industry Regulatory Authority (FINRA) on February 5, the regulator censured and fined Berthel, Fisher & Company Financial Services (CRD #13609, Cedar Rapids, Iowa) for supervisory issues regarding former advisor Jeffrey Dragon and alleged sales of unit investment trusts. [read post]
15 May 2018, 10:59 am
FINRA Bars CT Advisor Emil Skyba – Westport Capital Markets According to the Financial Industry Regulatory Authority (FINRA) on May 11, financial advisor Emil Skyba was reportedly barred from the securities industry. [read post]
15 May 2018, 9:12 am
., $4 Million Fine According to The Financial Industry Regulatory Authority (FINRA), the regulator has fined Fifth Third Securities Inc. $4 million and required the firm to pay approximately $2 million in restitution to customers for variable annuity exchange violations. [read post]
15 May 2018, 6:59 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), MSI Financial Services broker Kelly Barnett allegedly used discretion in the accounts of five customers without written authorization or acceptance of the accounts as discretionary. [read post]
15 May 2018, 6:58 am
Recently, United Kingdom-based Laidlaw & Co. was sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
15 May 2018, 5:21 am
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, A... [read post]
15 May 2018, 1:01 am
The debate was reported in balanced way in the Guardian and the Financial Times. [read post]
14 May 2018, 10:59 am
FINRA Bars CT Advisor Emil Skyba – Westport Capital Markets According to the Financial Industry Regulatory Authority (FINRA) on May 11, financial advisor Emil Skyba was reportedly barred from the securities industry. [read post]
14 May 2018, 10:16 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Westport Capital Markets broker Emil Skyba violated securities laws. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
11 May 2018, 5:15 am
FINRA Broker Disciplinary Action Report April 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
11 May 2018, 3:22 am
Stamer works with businesses and their management, employee benefit plans, governments and other organizations deal with all aspects of human resources and workforce, internal controls and regulatory compliance, change management and other performance and operations management and compliance. [read post]
10 May 2018, 11:10 am
According to the Financial Industry Regulatory Authority (FINRA)on May 9, the regulator barred former financial advisor James Knee from the securities industry. [read post]
10 May 2018, 9:46 am
According to the Financial Industry Regulatory Authority (FINRA) on May 9, the regulator has barred Stacy Cheney-Jamison from the securities industry. [read post]
10 May 2018, 4:26 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, Claimant Claimant Rebecc... [read post]
