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2 Mar 2018, 5:07 am
These steps might include organizing documents and creating a data room for purposes of buyer diligence, analyzing the businesses’ past performance and preparing to address any problems or outliers in performance and, in a highly regulated industry such as healthcare, engaging a third party to confirm regulatory compliance prior to the process. [read post]
1 Mar 2018, 1:35 pm
A former IT administrator at the Malta Gaming Authority (MGA), Mr. [read post]
1 Mar 2018, 1:10 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Pavel Shklyar was accused of violating industry rules and regulations. [read post]
1 Mar 2018, 1:09 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Norris Roberts Jr. was barred from the industry for failing to show up at a hearing against him. [read post]
1 Mar 2018, 12:37 pm
Please feel free to contact the author at Fitch@khlaw.com. [read post]
1 Mar 2018, 5:30 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, Claimant Gherardi asserted defamation on his Central Registration Depository (“CRD”) and Uniform Termination Notice for Securities Industry Registration ("Form U5"); tortious interference with prospective economic relations; wrongful termination and/or breach of contract and/... [read post]
28 Feb 2018, 9:55 am
Hartman’s BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Barry Hartman was previously registered with The Prudential Insurance Company of America in Newark, New Jersey from June 1985 until December 1993, Pruco Securities Corp in Newark from June 1985 until November 2000, Raymond James in St. [read post]
27 Feb 2018, 9:07 am
However, these products have previously been the subject of several warnings by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Feb 2018, 7:00 am
The author would like to thank Kassandra Shortt, Articling Student, for her assistance in preparing this legal update. [read post]
26 Feb 2018, 12:53 pm
As you cruise around our website, you’re likely to see references to the Financial Industry Regulatory Authority, more commonly known by the acronym “FINRA”. [read post]
26 Feb 2018, 11:27 am
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the broker or financial advisor. [read post]
26 Feb 2018, 3:30 am
., is a critic of mandatory arbitration before the Financial Industry Regulatory Authority, whether the coerced litigants are public customers or industry participants. [read post]
26 Feb 2018, 3:30 am
On February 26, 2018, the Financial Industry Regulatory Authority ("FINRA") published "Outside Business Activities FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions" (FINRA Regulatory Notice 18-08, February 26, 2018) (the "OBA Notice") http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-18-08.pdf As set forth int he OBA… [read post]
23 Feb 2018, 5:44 am
Cassin The Financial Industry Regulatory Authority (FINRA) warned about con artists posing as FINRA to make phony investment pitches. [read post]
22 Feb 2018, 2:06 pm
., may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their AFIN position was recommended by an investment advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or financial advisor. [read post]
22 Feb 2018, 11:06 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Heather VanLandingham, a former Morgan Stanley representative, has been accused of violating securities laws and internal firm rules. [read post]
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]
