Search for: "Financial Industry Regulatory Authority"
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17 Apr 2018, 5:19 pm
This comes after Polese was reportedly barred by the Financial Industry Regulatory Authority (FINRA), and fired by Morgan Stanley last June, according to his broker report. [read post]
16 Apr 2018, 4:48 pm
Criminal authorities separately charged and arrested both defendants. [read post]
16 Apr 2018, 12:42 pm
Securities Investigation – Ron Ison – Buckman, Buckman & Reid According to a Letter of Acceptance, Waiver and Consent on theFinancial Industry Regulatory Authority’s website, the regulator has barred New Jersey financial advisor Ron Jason Ison (CRD No. 2897782) from working in the securities industry. [read post]
16 Apr 2018, 11:28 am
In addition to litigation, state authorities can influence consumer financial protection through supervision and regulation. [read post]
16 Apr 2018, 11:00 am
The Financial Industry Regulatory Authority Inc. barred Glick in 2014 and he had his certified financial planner designation and his certified public accountant license revoked for conduct unrelated to the SEC charge. [read post]
16 Apr 2018, 7:34 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred New York Financial Advisor Steven Pagartanis from the securities industry for allegedly failing to appear for on-the-record testimony on April 10, 2018. [read post]
16 Apr 2018, 6:54 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
16 Apr 2018, 5:45 am
" He may not have won his case but he did get to end his lawsuit humming one helluva pop tune.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2017, Claimant Storm, representing himself pro so, asserted compensation; libel or slander on his Form U5; wrongful termination; and libel, slander or defamation. [read post]
15 Apr 2018, 4:02 pm
The Economic Times of India has a post considering the potential impact of the GDPR on the countries IT industry. [read post]
15 Apr 2018, 6:58 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA... [read post]
15 Apr 2018, 6:10 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, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
13 Apr 2018, 12:18 pm
FINRA Fines Park Avenue Securities $300,000 over Variable Annuity Sales According to a Letter of Acceptance, Waiver & Consent, The Financial Industry Regulatory Authority Inc. has censured Park Avenue Securities and fined the firm $300,000 for problems in its supervision of variable annuity sales. [read post]
13 Apr 2018, 10:20 am
For investors who have suffered fraudulent losses, one of the primary means of financial recovery is to pursue arbitration before the Financial Industry Regulatory Authority (FINRA). [read post]
12 Apr 2018, 7:42 pm
See WHD Fiscal Year Data, Low Wage, High Violation Industries. [read post]
12 Apr 2018, 7:01 pm
However, the risk of enforcement is particularly acute for businesses in the following industries, designed for heightened enforcement and other attention as “Low Wage High Violation Industries” based on their particularly high record of noncompliance: Agriculture, Amusement, Apparel Manufacturing, Auto Repair, Child Care Services, Construction, Food Services, Guard Services, Hair, Nail & Skin Care Services, Health Care, Hotels and Motels,… [read post]
12 Apr 2018, 10:08 am
FINRA Generally Prohibits Brokers from Borrowing Money from Clients The Financial Industry Regulatory Authority (FINRA), the organization charged with overseeing the conduct of stockbrokers, generally prohibits brokers from borrowing money from their customers. [read post]
12 Apr 2018, 9:49 am
According to The Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Reef Securities $40,000 for failure to timely issue revised prospectus and notice of rescission, as well as advertising violations. [read post]
12 Apr 2018, 3:50 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 ... [read post]
11 Apr 2018, 9:51 am
If you or someone you know has lost money with James O’Keefe, you may be able to recover those losses by suing his former firm, Morgan Stanley, in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
10 Apr 2018, 2:40 pm
At the same time, this development also opens the possibility for states to assert a regulatory authority even when acting in private form (the privatization of public authority). [read post]
