Search for: "Financial Industry Regulatory Authority"
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13 Apr 2021, 6:26 am
Most notably, Ezri has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) for unauthorized trading activity. [read post]
7 Jun 2012, 5:00 am
Richard Ketchum, Chairman and Chief Executive Officer, Financial Industry Regulatory Authority Mr. [read post]
13 Mar 2014, 8:35 am
Malecki will also be discussing the need for more transparency among our financial regulators like the Securities and Exchange Commission (SEC) as well as the Financial Industry Regulatory Authority (FINRA). [read post]
4 Jan 2016, 8:33 am
FINRA DECEMBER 2015 BROKER DISCIPLINARY ACTION REPORT Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report of disciplinary actions recently taken against brokerage firms and brokers. [read post]
15 Mar 2018, 2:43 pm
The CHOICE Act would: reduce regulatory burdens on institutions based on capital levels irrespective of asset size reduce the Financial Stability Oversight Council’s powers repeal Dodd–Frank’s orderly liquidation authority, and scale back the CFPB’s powers. [read post]
11 Aug 2012, 9:34 am
The US hedge fund industry strongly supports the final EU Regulation on OTC derivative transactions, central counterparties and trade repositories. [read post]
6 Jan 2012, 4:28 pm
On August 18, 2011, the Financial Industry Regulatory Authority, Inc. [read post]
15 Jul 2014, 1:54 pm
A simple inquiry of the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck or an internet search on any given firm or investment advisor will often reveal incident after incident of malfeasance on the part of many of these firms and advisors. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
5 Jan 2021, 9:03 pm
In its report, DFS advocates creating a new federal regulatory authority to monitor social media companies and prevent future cyberattacks. [read post]
27 Aug 2023, 7:49 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
8 Jul 2019, 7:32 am
Industry concerns. [read post]
14 Nov 2014, 6:07 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Stifel, Nicolaus & Company, Inc. [read post]
4 Nov 2013, 5:18 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred broker Mark Christopher Hotton (Hotton) alleging that the broker engaged in numerous and repeated frauds including forgery, falsification of documents, conversion, misuse of funds, manipulating account records, churning, unauthorized trading, false testimony, and providing false information and documents to FINRA. [read post]
23 Feb 2021, 11:38 am
According to a FINRA (the Financial Industry Regulatory Authority) letter of Acceptance, Waiver, and Consent (AWC), between FINRA and respondents Worden Capital Management (Worden) and principal Jamie Worden (Worden): “From January 2015 to October 2019, WCM and Worden failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA’s suitability rule… [read post]
11 Feb 2016, 7:04 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Nancy Daoud (Daoud). [read post]
18 Dec 2018, 12:40 pm
Evan Abrams also highlights the New York Department of Financial Services recent announcement authorizing Signature Bank, a New York State-chartered bank, to offer a digital payment platform called Signet that leverages blockchain technology. [read post]
20 Jul 2010, 12:35 pm
The Act includes expansive financial industry regulatory reforms, including the "Private Fund Investment Advisers Registration Act of 2010" (the "PFIARA"). [read post]
1 Jun 2017, 5:26 am
Requests for such a waiver may be submitted to the Appraisal Subcommittee by a state appraiser licensing or certifying agency, a federal bank regulatory agency, a regulated financial institution or credit union, or other persons or institutions with a demonstrable interest in appraiser regulation. [read post]
21 Feb 2018, 11:46 am
According to the Financial Industry Regulatory Authority, a FINRA arbitration panel has awarded a client of J.J.B. [read post]
