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8 Nov 2021, 9:40 am
The AML Act took effect when Section 6110 of the massive National Defense Authorization Act became law in January. [read post]
8 Nov 2021, 9:40 am
The BSA enlists these sectors and other financial institutions to root out marketplace abuse by undertaking customer due diligence and spotting questionable financial transactions. [read post]
8 Nov 2021, 9:40 am
The BSA enlists these sectors and other financial institutions to root out marketplace abuse by undertaking customer due diligence and spotting questionable financial transactions. [read post]
8 Nov 2021, 6:27 am
While crypto still has the theoretical potential to disrupt the payments industry, for the moment that day appears to be a long way off. [read post]
8 Nov 2021, 6:27 am
While crypto still has the theoretical potential to disrupt the payments industry, for the moment that day appears to be a long way off. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a… [read post]
29 Oct 2021, 9:01 am
Antitrust investigators are looking into the financial incentives that Visa gave Square Inc., Stripe Inc. and PayPal Holdings Inc., the people said. [read post]
29 Oct 2021, 9:01 am
Antitrust investigators are looking into the financial incentives that Visa gave Square Inc., Stripe Inc. and PayPal Holdings Inc., the people said. [read post]
21 Oct 2021, 7:36 am
Deceased New York Broker Philip Incorvia May Have Defrauded Investors A retired couple living in Florida has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against broker-dealer Henley & Co. over losses they suffered while working with Philip Robert Incorvia as their registered financial advisor. [read post]
21 Oct 2021, 6:35 am
The tenor of the report, however, is broadly consistent with proposed regulations already placed on the SEC’s Spring 2021 regulatory agenda and with legislation introduced in Congress that would lessen the impact of industry conflicts of interest.Key recommendations. [read post]
19 Oct 2021, 10:10 am
See e.g., In re Anthem, Inc. [read post]
18 Oct 2021, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
17 Oct 2021, 2:17 pm
Merrell Dow Pharms., Inc., 911 F.2d 941, 958 (3d Cir. 1990); cf. [read post]
16 Oct 2021, 11:59 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Western International’s customer complaints allege that Mr. [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
12 Oct 2021, 11:59 am
Ex-Raymond James Broker Sara Komischke Unsuitably Recommended Off-Shore Investment A Maine investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Raymond James Financial Services, Inc. over his Northstar Financial Services (Bermuda) investment losses. [read post]
12 Oct 2021, 8:04 am
According to Henley’s BrokerCheck Report published by the Financial Industry Regulatory Authority (FINRA), the defendant brokerage arm of the firm (Henley & Company LLC) apparently failed to disclose the existence of its10 Beatty Road satellite office to FINRA. [read post]
11 Oct 2021, 7:59 pm
According to the DOJ announcement, DOJ expects the initiative to: Build broad resiliency against cyber security intrusions across the government, the public sector and key industry partners. [read post]
11 Oct 2021, 11:10 am
The event will feature the authors, Mark Philip Bradley, professor of history at the University of Chicago; and Mark Dudziak, professor of law at Emory University. [read post]
