Search for: "Financial Industry Regulatory Authority"
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9 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]
9 May 2018, 9:00 am
Vaughn Lee Andrews-McKay – Pruco Securities – Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Vaughn Lee Andrews-McKay on May 3 from the securities industry. [read post]
8 May 2018, 3:25 pm
The initiative proved to be highly controversial and became a lightning rod for media, industry, and Congressional criticism of the Bureau. [read post]
7 May 2018, 11:22 am
According to his online, public records with the Financial Industry Regulatory Authority (FINRA), Mark Gillis was previously registered with Dickinson & Co., Toluca Pacific Securities Corp, Trautman Wasserman & Company, Kimball & Cross Investment Management Corp, LaSalle Street Securities, Hudson Valley Capital Management in Croton on Hudson, New York from December 2009 until November 2012 and Westor Capital Group. [read post]
7 May 2018, 11:21 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Michael Swingle violated securities laws and internal firm rules. [read post]
7 May 2018, 3:45 am
The Department of Financial Services, which regulates the banking and insurance industries in New York, followed up with guidance letters to insurance companies and banks. [read post]
4 May 2018, 10:59 am
It's a fairly compelling effort by FINRA but for the fact that the published settlement agreement raises a few questions that aren't answered.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, E.J. [read post]
4 May 2018, 7:20 am
Overview of FINRA The Financial Industry Regulatory Authority (FINRA) regulates the securities industry. [read post]
2 May 2018, 8:14 am
Mendocino County is the latest to sign an agreement with the California Cannabis Authority in an effort to help local governments with regulatory compliance and assist in creating a rich pool of data about the cannabis industry. [read post]
1 May 2018, 8:32 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2017, pro se associated person Claimant Kuhn asserted breach of contract forcompensation/commissions owed; defamation on the Form U5; securities fraud; and failure to supervise in connection with his... [read post]
30 Apr 2018, 3:13 pm
” It also notes the authority that the E-SIGN Act grants to federal regulatory agencies to “exempt without condition a specified category or type of record from the requirements relating to consent” and comments that “any policy concerns related to the application of the E-SIGN Act to validation notices are more appropriately addressed through the exercise of that statutory authority. [read post]
30 Apr 2018, 2:19 pm
While state and federal financial regulators generally operate in separate spheres, it appears authorities are at least united regarding the need to strike the right balance between appropriate regulation and the responsible growth of this nascent industry. [read post]
28 Apr 2018, 12:07 pm
Consider a recent FINRA arbitration and how useful BrokerCheck would be in researching some of the named parties.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2016. [read post]
26 Apr 2018, 12:27 pm
FINRA Sanctions Western International Securities for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), on February 28, 2018 an AWC was issued in which Western International Securities, Inc. [read post]
26 Apr 2018, 7:39 am
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to catch more brokers who are churning customer accounts, according to an article in Investment News on Monday. [read post]
26 Apr 2018, 7:15 am
FINRA Investigates Douglas Leone – Allegations of Excessive Trading, Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has barred New York Financial Advisor Douglas Anthony Leone Respondent from associating with any FINRA member firm in any capacity for failing to attend an on-the-record interview during an investigation. [read post]
26 Apr 2018, 6:30 am
Publicly available records with the Financial Industry Regulatory Authority (FINRA), indicate that former Chicago-based Forest Securities broker Jeffrey Nimmow was terminated from the firm. [read post]
26 Apr 2018, 6:28 am
The Financial Industry Regulatory Authority (FINRA) recently barred Marcus D. [read post]
25 Apr 2018, 12:37 pm
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL Financial LLC (CRD #6413, Boston, Massachusetts) was issued an AWC in which the firm was censured and fined $375,000. [read post]
25 Apr 2018, 10:42 am
No one has ever called BrokeAndBroker.com Blog's publisher Bill Singer a snarky bastard when it comes to his shots against the Financial Industry Regulatory Authority. [read post]
