Search for: "Financial Industry Regulatory Authority"
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2 Apr 2018, 4:03 pm
These risks, of course, can and do vary by industry and nature of business. [read post]
2 Apr 2018, 7:14 am
The Financial Industry Regulatory Authority recently published a Regulatory Notice requesting comment regarding a proposed new rule pertaining to registered persons’ outside business activities. [read post]
2 Apr 2018, 5:00 am
Cboe’s letter was in response to a letter dated January 18, 2018 from Dahlia Blass, the director of the SEC’s Division of Investment Management, to the Investment Company Institute and the Securities Industry and Financial Markets Association. [read post]
31 Mar 2018, 10:46 am
The Securities and Exchange Commission (SEC) has alleged, that, in 2013 and 2014, Caldwell, and Gregory Alan Smith, a financial planner whom the Financial Industry Regulatory Authority (FINRA) barred from the industry in 2010, targeted vulnerable and elderly investors into purchasing the bonds. [read post]
31 Mar 2018, 10:42 am
Stoltmann Law Offices continues to investigate Richard Gomez, who entered into a Decision with the Financial Industry Regulatory Authority (FINRA). [read post]
31 Mar 2018, 10:40 am
’” According to his Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), William Slattery allegedly engaged in outside business activities without providing notice to his firm from November 2015 until April 2016. [read post]
30 Mar 2018, 3:22 pm
Investors who suffered losses due to misconduct by financial advisor Ralph Savoie (CRD# 411660) may be able to recover their losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
30 Mar 2018, 10:26 am
The NYDFS Guidance, along with new guidelines in Korea and Malaysia, illustrate the growing concerns about regulating virtual currency exchanges across the world. [1] The Korea Financial Intelligence Unit is the primary government agency coordinating the South Korea’s AML and Combating the Financial Terrorism (CFT) policy. [2] The Financial Supervisory Service is responsible for the oversight and regulation of institutions that operate in the South Korean… [read post]
29 Mar 2018, 7:00 am
The author would like to thank Joseph Palmieri, Articling Student, for his assistance in preparing this legal update. [read post]
29 Mar 2018, 5:11 am
Is this because they make the financial choice that they are willing to lose a leg for the savings? [read post]
28 Mar 2018, 9:30 pm
Councilors had started to use their broader authority to inhibit individuals from making withdrawals during a banking crisis while simultaneously maintaining extensive private financial relationships with those same banks. [read post]
28 Mar 2018, 12:28 pm
However, the CFTC will not be the only organization regulating the industry of cryptocurrencies. [read post]
28 Mar 2018, 9:51 am
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Matthew Singer for failing to appear at a hearing in connection with a FINRA investigation. [read post]
28 Mar 2018, 9:41 am
According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has reportedly barred former advisor Lawrence “Larry” Fawcett, Jr. [read post]
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 Mar 2018, 3:34 pm
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]
27 Mar 2018, 9:22 am
Both were ordered by the Financial Industry Regulatory Authority (FINRA) to pay James Mirgliotta and the estate of his late wife, Bette, $595,000 in compensatory damages and $250,000 in punitive damages. [read post]
27 Mar 2018, 6:13 am
FINRA Investigates Sanders Spangler for Unauthorized Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Sanders L. [read post]
26 Mar 2018, 12:06 pm
The Financial Industry Regulatory Authority panel reportedly ordered the pair to pay James Mirgliotta and the estate of his late wife, Bette, $595,000 in compensatory damages and $250,000 in punitive damages. [read post]
26 Mar 2018, 10:19 am
An arbitration claim filed with the Financial Industry Regulatory Authority (FINRA) claimed that Parkland Securities failed to supervise Love and allowed him to invest a large percentage of the client’s retirement funds in high commission, illiquid, risky and non-publicly traded real estate investment trusts (REITs), and other alternative investments. [read post]
26 Mar 2018, 10:18 am
He was then barred from the industry by the Financial Industry Regulatory Authority (FINRA) the following month. [read post]
