Search for: "Financial Industry Regulatory Authority"
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19 Mar 2018, 5:48 am
Peirce said she is not in favor of giving FINRA any more authority over investment advisers. [read post]
19 Mar 2018, 3:36 am
There's more than enough finger-pointing to go around for both sides of the lawsuit caption.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2016, Claimants asserted breach of contract; unjust enrichment; defamation; conversion; fraudulent inducement, fraud and suppression; and, tortious interference with business relationships in connection with Respondents alleged breach of an… [read post]
16 Mar 2018, 1:39 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Stephen J. [read post]
16 Mar 2018, 10:51 am
This latest decision comes nearly a year a Texas district court judge roundly rejected the investment industry advocacy groups’ arguments that the DOL exceeded its authority in crafting the fiduciary rule. [read post]
16 Mar 2018, 10:10 am
Timothy Beall, a broker who was suspended by the Financial Industry Regulatory Authority (FINRA) for nine months and fined $10,000, has allegedly violated securities laws and internal firm rules. [read post]
16 Mar 2018, 10:08 am
Gary Gray, a former Las Vegas-based Wells Fargo broker was suspended from the industry for three months by the Financial Industry Regulatory Authority (FINRA). [read post]
16 Mar 2018, 9:15 am
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]
16 Mar 2018, 9:00 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
15 Mar 2018, 9:30 pm
Senate voted 67-31 to pass the bipartisan Economic Growth, Regulatory Relief, and Consumer Protection Act. [read post]
15 Mar 2018, 2:43 pm
The CHOICE Act would: reduce regulatory burdens on institutions based on capital levels irrespective of asset size reduce the Financial Stability Oversight Council’s powers repeal Dodd–Frank’s orderly liquidation authority, and scale back the CFPB’s powers. [read post]
15 Mar 2018, 7:11 am
The Financial Industry Regulatory Authority (FINRA) website says that Diaz was registered with First Allied Securities from June 2005 until April 2009. [read post]
15 Mar 2018, 6:43 am
Whether or not the answers are satisfactory depends on a number of factors.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2016 and as amended thereafter, Claimant Clark asserted defamation in connection with allegedly false and defamatory statements filed on his Form U5. [read post]
14 Mar 2018, 10:18 am
Investigating Potential Claims Involving Fred Brisker According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Fred Brisker of Portsmouth, Ohio who was terminated from Parkland Securities earlier this month. [read post]
14 Mar 2018, 6:48 am
The Financial Industry Regulatory Authority (FINRA) accused White of unlawfully “structuring” a total of $77,560 that he won on gambling trips to Las Vegas by depositing the cash into his bank accounts in amounts just below $10,000 reporting threshold. [read post]
13 Mar 2018, 9:01 pm
”In addition, brokers are subject to rules imposed by their self-regulating organization Financial Industry Regulatory Authority (FINRA). [read post]
13 Mar 2018, 3:48 am
The Financial Industry Regulatory Authority (FINRA)operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
12 Mar 2018, 11:44 am
Broker Mark Kaplan allegedly executed 3,500 trades that resulted in $723,000 in losses According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred broker Mark Kaplan from the securities industry for allegedly churning the account of a 93 year old client reportedly suffering from dementia. [read post]
12 Mar 2018, 7:25 am
Barber after FINRA Award According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former broker David L. [read post]
12 Mar 2018, 3:29 am
Austin Wayne Morton, Respondent (OHO Hearing Panel Decision, Financial Industry Regulatory Authority, Office of Hearing Officer, Disciplinary Proceeding No. 2016052347901 / March 14, 2018) As set forth in the "Introduction" to the OHO Hearing Panel Decision [Ed: Footnotes omitted] :Depa... [read post]
12 Mar 2018, 12:42 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
