Search for: "Financial Industry Regulatory Authority"
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26 Sep 2017, 4:28 am
Reallocating competition authority to a motivated financial agency would better position regulators to safeguard the future of finance. [read post]
24 Nov 2011, 7:44 am
The UK Financial Services Authority has fined and banned from the financial services industry a hedge fund compliance officer for breaching Principle 6 of the FSA’s Statements of Principle for Approved Persons. [read post]
22 Dec 2023, 11:38 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
5 Nov 2019, 8:03 am
Fortunately, the Financial Industry Regulatory Authority (FINRA), provides rules to its members to respond to situations in which they have a reasonable basis to believe that financial exploitation has occurred, is occurring, has been attempted or will be attempted. [read post]
19 Jul 2019, 2:21 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Marino yesterday from working in the securities industry. [read post]
17 Feb 2018, 1:55 pm
Further improvements to financial infrastructure are also required to keep pace with industry developments and enable the expansion of digital finance to underserved areas of the country. [read post]
11 Sep 2018, 6:30 am
The United States Court of Appeals for the Third Circuit has widened a circuit split regarding whether a securities brokerage may deny clients access to the Financial Industry Regulatory Authority (“FINRA”) arbitral forum using a forum-selection clause. [read post]
1 Aug 2014, 7:12 am
The law offices of Gana LLP are investigating claims concerning allegations made by the Financial Industry Regulatory Authority (FINRA) that Michael Wurdinger (Wurdinger), from approximately February 2012, to February 2013, Wurdinger failed to adequately supervise sales of GWG Renewable Secured Debentures (GWG), an illiquid and high-risk alternative investment in violation of NASD Rule 3010 and FINRA Rule 2010. [read post]
14 May 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against brokers George Johnson (Johnson), Christopher Wayne (Wayne), Joseph Mahalick, and brokerage firm Meyers Associates, L.P. [read post]
13 Sep 2022, 11:07 am
FINRA says BofA Securities Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances According to a press announcement on September 12, the Financial Industry Regulatory Authority (FINRA) has fined Bank of America Securities $5 Million for failing to report over-the-counter (OTC) options positions to the Large Options Positions Reporting system in more than 7.4 million instances, including 26 positions that were over the… [read post]
6 Jun 2016, 6:14 am
Since it lacks the affirmative authority to regulate financial services outside the context of employee benefit plans, the Labor Department tried to promulgate “this new regulatory regime” through its exemptive authority under ERISA, according to the complaint. [read post]
17 Mar 2016, 11:08 am
In February 2015, the Financial Industry Regulatory Authority (“FINRA”) released a “Report on Cybersecurity Practices. [read post]
8 Nov 2021, 4:08 am
The Financial Industry Regulatory Authority (FINRA) only holds them to the lower “suitability” standard. [read post]
21 May 2010, 12:26 pm
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged in unauthorized and unsuitable trading in multiple accounts. [read post]
6 Dec 2008, 5:52 pm
Council on bank regulatory issues. [read post]
30 Jul 2012, 11:14 am
Furthermore, according to BrokerCheck, which is a service provided by the Financial Industry Regulatory Authority (FINRA), they included among other things "aiding and abetting wire fraud, aiding and abetting money laundering, conspiracy to commit mail and wire fraud and aiding and mail fraud". [read post]
2 Jun 2021, 11:30 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against brokerage firm NYPPEX, LLC (CRD No. 47654), Former Chief Executive Officer (“CEO”) Laurence Allen (CRD No. 1063970), and Chief Compliance Officer (“CCO”) Michael Schunk (CRD No. 732595). [read post]
23 Mar 2023, 1:44 pm
Attorney’s Office for the Southern District of New York and the Financial Industry Regulatory Authority. [read post]
27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
13 Dec 2018, 12:04 pm
According to the Financial Industry Regulatory Authority, Knuttila has been the subject of at least two regulatory events, one employment separation and thirty-five customer complaints. [read post]
