Search for: "Financial Industry Regulatory Authority"
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22 Jan 2024, 8:14 am
Treat was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning whether Treat reasonably supervised the sale of certain illiquid investment. [read post]
25 Oct 2007, 12:27 pm
UBS Financial Services has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority, or FINRA, for making what the self-regulatory group said were hundreds of late disclosures about its brokers. [read post]
25 May 2020, 9:49 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Chu left his prior employer, NYLife Securities, LLC (NYLife Securities) prior to several customer complaints concerning the sale of promissory notes. [read post]
13 May 2021, 6:31 am
Industry role players who have found themselves subject to regulatory action taken by the Prudential Authority (PA) or the Financial Sector Conduct Authority (FSCA) may apply to the Financial Service Tribunal (FST) for reconsideration of that action. [read post]
17 Mar 2021, 9:51 am
Cambridge Investment Research, a national financial advisory firm headquartered in Fairfield, Iowa, reportedly has 12 disclosure events on its broker record including 8 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
31 Jul 2015, 2:58 pm
According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior… [read post]
16 Feb 2022, 3:00 am
Japanese Investor is Requesting Up to $500K in Damages Another investor in Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Bankoh Investment Services over her Northstar Financial Services (Bermuda) losses. [read post]
5 Dec 2017, 12:13 pm
According to the Financial Industry Regulatory Authority, David Lee Reynolds has been permanently barred from the securities industry. [read post]
2 Oct 2023, 10:56 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
16 Jun 2018, 5:42 am
The Best Way to Learn More About Your Stock BrokerWhat you may not know, however, is that there is a highly sophisticated system of record-keeping for financial industry professionals administered by the Financial Industry Regulatory Authority (FINRA), and those records are freely available to the public. [read post]
6 Mar 2011, 12:32 pm
The Prudential Regulatory Authority will oversee banks and other financial institutions. [read post]
27 May 2010, 2:39 pm
Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice on May 26 requesting comments on proposed rule amendments intended to enhance the oversight of broker-dealers' back office operations. [read post]
27 Nov 2021, 7:18 am
.%20CRD%2020130%20Mario%20Divita%20CRD%201504199%20AWC%20sl.pdfFor 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 i... [read post]
5 Oct 2018, 8:51 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former advisor Suhail Khan , formerly registered with LPL Financial, LLC in Chicago, Illinois. [read post]
29 Oct 2012, 10:48 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
27 Jul 2012, 4:46 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
