Search for: "Financial Industry Regulatory Authority"
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15 Feb 2012, 2:58 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
31 Jan 2012, 8:42 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
15 Mar 2012, 2:31 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
6 Feb 2012, 2:36 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
10 Feb 2012, 2:47 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
10 Mar 2012, 3:24 pm
The hedge fund industry supports a robust regulatory framework for the EU Markets in Financial Instruments Directive (MiFID) that includes an effective internal compliance function. [read post]
29 May 2012, 9:07 am
On May 18, 2012 the Financial Industry Regulatory Authority (FINRA) issued its Regulatory Notice 12-25 which provides additional guidance on the rule of suitability that will go into place on July 9, 2012. [read post]
29 Jun 2017, 9:56 am
By Amy Leisinger, J.D.The Financial Stability Board has issued a report discussing the potential financial stability implications of, and regulatory issues surrounding, technological innovation and the evolution of FinTech. [read post]
29 Nov 2021, 12:01 pm
FINRA Censures & Fines McNally Financial for Supervisory Failures with Complex Options Trading Strategies According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined McNally Financial Services Corporation (CRD#: 121196/SEC#: 8-65388) in connection with the sale of nontraditional exchange traded products. [read post]
31 Oct 2018, 3:07 am
Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bruce Plyer from the securities industry. [read post]
26 May 2016, 1:20 pm
Marino is currently employed and registered with Lincoln Investment, a broker-dealer, working out of the Dix Hills, New York office, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jul 2018, 8:27 am
FINRA Bars Abraham Biderman for Failure to Provide Testimony According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Abraham Biderman from the securities industry for failure to provide testimony during an investigation. [read post]
10 Jun 2023, 6:45 pm
A 25-year veteran financial advisor who worked for UBS Financial Services Inc. in Waco, Texas, was barred from the securities industry Friday by the Financial Industry Regulatory Authority Inc. for his role in off-the-books, private securities transactions, according to Finra. [read post]
14 Jun 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Gebron’s customer complaints alleges that Gebron recommended unsuitable investments in various investments. [read post]
4 Aug 2021, 11:40 am
FINRA Reportedly Bars Broker Dan Jossen after Allegations of Misrepresentation involving VA sales According to the Financial Industry Regulatory Authority (FINRA) on June 25, the regulator reportedly barred financial advisor Daniel E. [read post]
1 May 2023, 8:42 am
FINRA Indefinitely Suspends Broker Damian Baird for Alleged Misconduct According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has suspended financial advisor Damian Baird (CRD #3097243) from the securities industry. [read post]
21 Oct 2014, 1:35 pm
As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in settlement agreements that prohibit or otherwise restrict customers or anyone else (such as current employees) from communicating with the Securities Exchange Commission (SEC), FINRA, or any federal or state regulatory… [read post]
