Search for: "Financial Industry Regulatory Authority"
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18 Sep 2019, 1:36 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Mauro concern allegations of unsuitable investment recommendations and misrepresentations. [read post]
9 Sep 2019, 6:37 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Upchurch concern allegations of unsuitable investment recommendations and misrepresentations. [read post]
30 Aug 2018, 8:36 am
The study uses specific Financial Industry Regulatory Authority (FINRA) misconduct disclosures, as they represent dishonest behavior, according to co-aurthor Seru. [read post]
24 Aug 2018, 9:06 am
In July 2016, Roveccio was sanctioned by the Securities Exchange Commission (SEC) for violating various securities laws, including 17 (a) of the Securities Act of 1933 and Section 10(b) of Securities Act 1934, and the Financial Industry Regulatory Authority (FINRA) Rule 10b-5, which protect investors from misrepresentation of the sale or offer of securities. [read post]
13 Oct 2009, 8:00 am
This is the final post regarding the Financial Services Authority’s (FSA) adoption of a new “Remuneration Code” to regulate, for the first time, executive compensation in the UK’s financial sector. [read post]
16 Nov 2020, 3:36 pm
It further identifies legal authorities available to U.S. financial regulators that provide a basis for issuing specific macroprudential regulations that could address the risks from, and role played by, large financial institutions’ financing of the industries and activities that drive climate change. [read post]
22 Dec 2016, 7:11 am
Nelson, J.D. discusses the impact of the election on the Dodd-Frank Act, federal securities regulation, and on related financial services industry issues. [read post]
21 Sep 2020, 6:11 am
Before the SEC took action, the Financial Industry Regulatory Authority (FINRA) barred Fries from the securities industry in November 2019 for violating FINRA Rule 8210. [read post]
25 Mar 2020, 12:27 pm
According to public records on the Financial Industry Regulatory Authority’s website, on March 23, 2020, the regulator reportedly barred Vietor from associating with any FINRA member firm at any time. [read post]
4 Aug 2009, 8:10 am
Too bad it's reserved for other banking regulators, not the financial services industry. [read post]
31 Mar 2016, 9:51 am
FINRA Broker Disciplinary Action Report March 2016 Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
4 Aug 2010, 4:02 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS AG to pay $80.8 million to a Maryland cellphone marketer for lost profits when its cash was frozen in auction-rate securities in early 2008, according to an August 4, 2010 Wall Street Journal article by Randall Smith, “UBS to Pay $80 Million in Auction-Rate Case. [read post]
8 Apr 2022, 11:59 am
FINRA Sanctions National Securities Corp for Misconduct involving Pre-IPO Sales According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined National Securities Corp (CRD No. 7569) $300,000 plus disgorgement of $363,447.67 plus interest for rules violations involving the sales of “pre-IPO” private placement offerings. [read post]
19 Jul 2010, 7:22 am
It creates a Federal Insurance Office, sites it in Treasury, and puts its director on the council of financial regulators that are supposed to coordinate regulatory policy in the future, albeit in a nonvoting capacity. [read post]
28 Feb 2010, 11:16 am
Romano concludes: In the absence of a sustained, large exogenous shock which could focus public attention on the regulatory regime and could alter the incentives of the coalition partners to support it, we can predict with considerable confidence that . . . the dispersed organization of U.S. regulatory institutions of financial markets will remain. [read post]
24 Sep 2015, 8:43 am
In May 2015, the Wall Street Journal reported that the Financial Industry Regulatory Authority (FINRA) fined LPL Financial $11.7 million over failing to properly supervise complicated products such as nontraditional ETFs. [read post]
19 Dec 2019, 1:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Davidman’s customer complaint alleges that Davidman recommended unsuitable investments in a variety of investment products including bonds among other allegations of misconduct relating to the handling of their accounts. [read post]
10 Feb 2020, 7:37 am
Diaz was however banned from the Securities industry in 2015 by the Financial Industry Regulatory Authority Inc. [read post]
1 Mar 2022, 3:57 am
This announcement has been authorized by the Nuix Board. [read post]
21 May 2007, 5:15 am
This time, he is creating a committee to “address auditing industry concentration, and to consider options available to strengthen the industry's financial soundness and its ability to attract and retain qualified personnel. [read post]
