Search for: "Financial Industry Regulatory Authority"
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26 Mar 2018, 8:58 am
And if all of that doesn't entice you to read today's blog, you should know that it also includes three lovely music videos by Anita Baker, Amy Winehouse, Tony Bennett, and Billie Holiday -- as eclectic a group as you may ever find in the company of a murderer and counterfeiter (alleged as they may be).Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2016, Claimant… [read post]
23 Mar 2018, 6:35 pm
In many cases, scam artists will employ tactics specifically designed to make their offerings appear more legitimate, such as purporting to operate under the EB-5 Immigrant Investor Program or falsely claiming affiliation with the Financial Industry Regulatory Authority (FINRA) or another official organization. [read post]
23 Mar 2018, 10:41 am
According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has barred Michael Giokas from the securities industry for failure to respond to FINRA’s request for information in regards to Giokas’ recent criminal charges. [read post]
23 Mar 2018, 9:47 am
Department of Labor represents a major victory for industry participants. [read post]
23 Mar 2018, 8:42 am
In its self-regulatory-organization capacity, the Financial Industry Regulatory Authority is nothing but meticulous about insisting that its member firms and their associated persons follow its rules. [read post]
23 Mar 2018, 6:06 am
FINRA stands for Financial Industry Regulatory Authority. [read post]
22 Mar 2018, 10:21 am
Effective March 13, 2018, the Financial Industry Regulatory Authority (“FINRA”) imposed an industry bar against former financial advisor Gabriel “Gabe” Block (CRD# 2103543), of Rumson, New Jersey. [read post]
22 Mar 2018, 7:29 am
Five comment letters came from industry and trade associations, seven from industry participants, two from public interest groups, one from a self-regulatory organization, while the overwhelming majority, 81 comments, were submitted by members of the general public. [read post]
21 Mar 2018, 4:11 pm
Other regulatory authorities have raised questions of whether Facebook’s practices may have violated prior consent decrees or other commitments the company made to protect user information. [read post]
21 Mar 2018, 10:30 am
As part of a major government reorganization plan, China’s State Intellectual Property Office will be restructured to consolidate overlapping regulatory authorities and reinforce IP protection. [read post]
21 Mar 2018, 8:17 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Thomas Meier, a former Morgan Stanley broker, violated securities laws. [read post]
21 Mar 2018, 8:15 am
According to a Decision heard before the Financial Industry Regulatory Authority (FINRA), former Morgan Stanley broker Kenneth Mathieson was suspended for one year in all capacities and fined $50,000 for participating in private securities transactions and engaging in outside business activities without prior written notice to, and permission from, Morgan Stanley. [read post]
21 Mar 2018, 7:56 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
21 Mar 2018, 7:53 am
FINRA Panel says UBS was liable for breach of contract and unsuitability According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has found UBS liable for breach of contract and unsuitability in a customer complaint involving Puerto Rico bonds. [read post]
21 Mar 2018, 7:10 am
These projects involve NDRC, MOF, and the authorities in charge of the relevant industry and in this situation with projects involving multiple approvals, there are no clear rules on the division of authority among authorities, and between the central and local authorities, the procedure for obtaining approvals, and whether approvals can be consolidated. [read post]
21 Mar 2018, 6:57 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has allegedly barred Gary Basralian of Maplewood, NJ from the securities industry. [read post]
21 Mar 2018, 4:38 am
Chamber of Commerce, the Securities Industry and Financial Markets Association (SIFMA), the American Council of Life Insurers, and other trade groups. [read post]
21 Mar 2018, 4:38 am
Chamber of Commerce, the Securities Industry and Financial Markets Association (SIFMA), the American Council of Life Insurers, and other trade groups. [read post]
20 Mar 2018, 12:03 pm
FINRA Bars Former Morgan Stanley Broker Thomas Meier for unauthorized trades According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Miami advisor Thomas Meier for allegedly engaging in unauthorized trades in his clients’ accounts. [read post]
20 Mar 2018, 8:10 am
Credit Suisse Securities has agreed to settle with the Financial Industry Regulatory Authority (FINRA) to the tune of $450,000 in two payments of $200,000 and $250,000. [read post]
