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9 Dec 2021, 12:42 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
8 Dec 2021, 11:27 am
Financial Reports. [read post]
8 Dec 2021, 7:27 am
Financial Reports. [read post]
6 Dec 2021, 1:00 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
3 Dec 2021, 9:49 am
Mastercard Inc. [read post]
3 Dec 2021, 9:49 am
Mastercard Inc. [read post]
2 Dec 2021, 7:03 am
Advisor Jesus Rodriguez of El Paso Barred after Allegations of Misappropriating Funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Jesus Rodriguez (CRD #4888685) after his member firm Morgan Stanley allegedly allowed him to resign on September 3. [read post]
1 Dec 2021, 11:53 am
Other companies sanctioned by SAMR include online retailers JD.com Inc., Suning Ltd. and Baidu Inc. [read post]
27 Nov 2021, 7:18 am
FINRA Sanctions Traderfield and Principal for Supervision of Excessive Trading and Complaint ReportingIn the Matter of Traderfield Securities,Inc. and Mario Divita, Respondents (FINRA AWC)FINRA Sanctions Traderfield and Principal for Supervision of Excessive Trading and Complaint ReportingIn the Matter of Traderfield Securities,Inc. and Mario Divita, Respondents (FINRA AWC… [read post]
21 Nov 2021, 9:00 pm
It also raises questions about OSHA’s authority to impose these requirements through an ETS rather than a permanent standard, allowing it to bypass the requirement of a notice-and-comment rulemaking.OSHA’s Prior Uncertainty Over Its Authority to Mandate VaccinationsThe OSH Act does not clearly authorize OSHA to mandate vaccinations or testing. [read post]
17 Nov 2021, 2:44 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
15 Nov 2021, 7:48 pm
This post was authored by Amanda Ritchie, Touro College Jacob D. [read post]
12 Nov 2021, 7:57 am
While the United States can entice domestic carriers away from Chinese telecoms with financial carrots and regulatory sticks, its ability to influence international carriers is far more limited. [read post]
9 Nov 2021, 12:46 pm
Donatas Belys Vildzius (CRD#: 2202883) is a former broker and registered investment advisor whose last known employer was Network 1 Financial Securities Inc. [read post]
9 Nov 2021, 9:29 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Leonard Marzocco from the securities industry. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
9 Nov 2021, 6:40 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Melilli from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
8 Nov 2021, 4:19 pm
Following her termination, Badgerow initiated an arbitration proceeding against the three principals before an arbitration panel of the Financial Industry Regulatory Authority (“FINRA”). [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
