Search for: "Financial Industry Regulatory Authority"
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22 Feb 2018, 11:05 am
The Financial Industry Regulatory Authority (FINRA) ordered LPL to make a “very substantial” payment for the firings of an office of supervisory jurisdiction (OSJ) manager and a compliance delegate. [read post]
22 Feb 2018, 9:00 am
THERE CAN BE A LOT OF CONFUSION IN THE INDUSTRY—AND MEDICAL SPA TREATMENT BY RNS UNDER PHYSICIAN SUPERVISION IS AN ENFORCEMENT HOT BOTTOM. [read post]
22 Feb 2018, 8:23 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Donald Southwick (Southwick). [read post]
22 Feb 2018, 8:00 am
Department of Financial Services Cy [read post]
21 Feb 2018, 5:13 pm
When they fail to do so, they can be held legally accountable through arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), and currently numerous investment advisory firms are facing arbitration claims filed by individual investors who have suffered losses in Puerto Rico municipal bonds and bond funds. [read post]
21 Feb 2018, 11:46 am
According to the Financial Industry Regulatory Authority, a FINRA arbitration panel has awarded a client of J.J.B. [read post]
21 Feb 2018, 6:42 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded this to the client after she accused Bennett of breach of fiduciary duty, unauthorized trading, suitability, churning, misrepresentation, omission of facts, common law negligence, fraud, failure to supervise, common law negligent supervision and violation of Kentucky statutes, regulations and FINRA rules. [read post]
21 Feb 2018, 6:40 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Marcus Parker was permanently barred from the industry. [read post]
20 Feb 2018, 3:19 am
This case proved to be no exception.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2017 by public customer Claimant Campbell representing himself pro se, he asserted manipulation; misrepresentation/non-dis... [read post]
20 Feb 2018, 2:35 am
The report assesses how technology driven innovation in financial services may affect the banking industry and the activities of supervisors in the near to medium term. [read post]
20 Feb 2018, 1:59 am
The South African Reserve Bank (SARB) has established a Financial Technology (Fintech) programme to assess the emergence of technological innovations in the financial sector and consider their regulatory implications. [read post]
19 Feb 2018, 5:27 pm
Two new rules the Financial Industry Regulatory Authority (FINRA) adopted last year with Securities and Exchange Commission (SEC) approval took effect on February 5, 2018. [read post]
18 Feb 2018, 6:38 am
Case In Point: FINRA ArbitrationIn a Financial Industry Regulatory Author... [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]
16 Feb 2018, 1:08 pm
Travers for Refusing on-the-record Testimony According to the Financial Industry Regulatory Authority (FINRA), on December 13, 2017, the regulator issued an AWC in which Brian M. [read post]
16 Feb 2018, 11:01 am
Public records published by the Financial Industry Regulatory Authority (FINRA) indicate that Portage, Michigan-based PFS Investments broker Daniel Hartley was sanctioned following allegations of “dishonest and unethical business practices,” by the State of Michigan in 2016. [read post]
16 Feb 2018, 6:52 am
According to his FINRA BrokerCheck report, he was affiliated with 11 investment firms in 15 years, getting fired from five of them and resigning from another before he was finally barred by the Financial Industry Regulatory Authority. [read post]
15 Feb 2018, 4:41 pm
The criminal enforcement provisions of HIPAA authorize the Justice Department to prosecute a person who knowingly in violation of the Privacy Rule (1) uses or causes to be used a unique health identifier; (2) obtains individually identifiable health information relating to an individual; or (3) discloses individually identifiable health information to another person, punishable by the following criminal sanctions and penalties: A fine of up to $50,000, imprisoned not more than 1… [read post]
15 Feb 2018, 2:31 pm
Moscoso According toThe Financial Industry Regulatory Authority (FINRA), the regulator has barred Jimmy O. [read post]
15 Feb 2018, 10:29 am
FINRA issues investor alert on Margin Trading According to the Financial Industry Regulatory Authority (FINRA), investor purchases of securities “on margin” averaged more than $592 billion for the first eleven months of 2017. [read post]
