Search for: "Financial Industry Regulatory Authority"
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19 May 2015, 7:31 am
The Financial Industry Regulatory Authority (FINRA) barred broker Aaron Parthemer (Parthemer) concerning allegations that Parthemer engaged in private securities transactions – also known as “selling away. [read post]
29 Dec 2015, 9:30 pm
Jessica Bassett | July 30 How would you define an excellent regulatory authority? [read post]
5 Jun 2014, 11:52 am
What is most appalling is that he committed these acts of fraud years after he was permanently barred from dealing in securities by both the SEC and the Financial Industry Regulatory Authority (FINRA). [read post]
8 Feb 2021, 10:51 am
Uejio indicated that his policy priorities are relief for consumers facing financial hardship due to the pandemic and racial equity. [read post]
29 Nov 2011, 7:29 am
Barney Frank (D-MA), Ranking Member of the House Financial Services Committee, Father of Financial Regulatory Reform, and 16-term Congressman announced today that he will not be seeking re-election in 2012. [read post]
6 Oct 2021, 7:37 pm
Please get in touch with the authors if you have a question. [read post]
16 Dec 2013, 6:27 am
Autorité des marchés financiers, 2013 SCC 63, R. v. [read post]
22 Jan 2015, 3:55 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives markets and the need for regulatory coordination on G-20 commitments. [read post]
26 Jul 2021, 6:15 am
Barriers are also present with respect to employment in the financial industry, Peirce said. [read post]
16 Jan 2012, 8:35 am
On Jan. 9, an arbitrator for the Financial Industry Regulatory Authority, or FINRA, awarded customers of a brokerage firm compensatory damages of roughly $55,000 for breach of fiduciary duty, negligence and breach of contract in the course of a bond sale. [read post]
23 Nov 2011, 1:24 pm
Chase Investment Services Corp. has been ordered to reimburse customers $1.92 million for losses they incurred after Chase Investment brokers recommended the customers purchase unsuitable unit investment trusts and floating rate loan funds, the Financial Industry Regulatory Authority (FINRA) announced on Nov. 15. [read post]
6 Jun 2011, 12:46 pm
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
13 Oct 2011, 12:00 am
Louis School of Law’s New York City Regulatory & Business Externship.Offered for the first time this fall, the semester-long clinical experience includes a variety of legal externship opportunities, including those with the Financial Industry Regulatory Authority, New York City Department of Finance, Standard & Poor’s/McGraw Hill, Securities and Exchange Commission, New York Attorney General’s Office, Anheuser-Busch’s New… [read post]
14 Jul 2022, 8:58 am
On March 21, 2022, the Financial Industry Regulatory Authority (FINRA) ordered Dempsey Lord Smith, LLC (“Dempsey Lord Smith”) to pay nearly $100,000 in monetary fines and restitution for negligently omitting to tell four investors in an offering related to GPB Capital Holdings, LLC (“GPB Capital”) that the issuer failed to timely make required filings with the Securities and Exchange Commission (“SEC”), including filing audited… [read post]
1 Oct 2015, 7:46 am
., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2012, 12:19 am
At a minimum, I would argue that the theoretical justification that Sparks gives for the SEC’s authority Section 304 does not work as well when the clawback authority is extended beyond the officers responsible for financial statement certification. [read post]
1 Aug 2008, 8:44 pm
” The memo considers the decision of the Financial Services Authority - the UK’s financial and securities markets regulatory authority - to require disclosure of cash-settled and other derivative contracts, on an aggregated basis with ownership of actual common stock, at the 3% level. [read post]
14 Apr 2016, 9:30 pm
Despite the rejection, financial industry officials insisted there was no cause for concern, with the Financial Services Forum’s John Dearie claiming the living will process was intended to be iterative and that the banks are stronger than before the 2008 crisis. [read post]
28 Jun 2010, 2:40 am
Increased State Authority over Funds The bill increases the threshold for registration with the SEC. [read post]
5 Jan 2024, 12:16 pm
FINRA Rule 2330 Members’ Responsibilities Regarding Deferred Variable Annuities FINRA, or the Financial Industry Regulatory Authority, is the self-regulator that supervises brokerage firms and enforcing rules associated with securities trading. [read post]
