Search for: "Financial Industry Regulatory Authority"
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28 Oct 2011, 3:20 pm
As a result of the three submissions of altered documents in eight years, the Securities and Exchange Commission, or SEC, has ordered the Financial Industry Regulatory Authority, or FINRA, to hire an independent consultant as a means to improve its document preparation policies and procedures. [read post]
4 Mar 2021, 12:24 pm
Broker Investigation: Mike Patatian, Western International Securities The Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Mergurditch Patatian of Westlake Village, CA, claiming he recommended unsuitable investments to clients, in some cases inflating client assets to make them eligible and in one case allegedly impersonating a client, according to FA-mag.com on March 3. [read post]
4 Mar 2021, 12:24 pm
Broker Investigation: Mike Patatian, Western International Securities The Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Mergurditch Patatian of Westlake Village, CA, claiming he recommended unsuitable investments to clients, in some cases inflating client assets to make them eligible and in one case allegedly impersonating a client, according to FA-mag.com on March 3. [read post]
21 Mar 2022, 11:09 am
FINRA Censures and Fines Geneos Wealth Management for Rules Violations involving LJM Funds & GPB Funds According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has censured and fined Geneos Wealth Management $150,000 after the firm allegedly failed to supervise recommendations of the high-risk LJM Preservation and Growth Fund (LJM). [read post]
11 May 2016, 7:55 am
Financial Conduct Authority’s Innovation Hub, which FCA Director of Strategy and Competition Christopher Woolard said was to begin taking applications this week. [read post]
17 Jun 2013, 9:43 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it expects to send a proposal to the SEC to make it easier for registered representatives to clear their record of black marks. [read post]
28 Aug 2013, 9:51 am
” On August 16, 2013, a joint advisory was issued by OCIE, the CFTC’s Division of Swap Dealer and Intermediary Oversight, and the Financial Industry Regulatory Authority on business continuity and disaster recovery planning for a wide array of firms. [read post]
29 May 2014, 6:34 am
” [3] While the investment bankers involved in the cases inevitably escaped court-imposed sanctions, because they were not defendants, they also escaped sanctions from the Financial Industry Regulatory Authority (FINRA), the regulator primarily responsible for overseeing their conduct. [read post]
28 May 2014, 1:47 pm
Earlier this month, the Securities and Exchange Commission (SEC) approved a change to Financial Industry Regulatory Authority (FINRA) Rule 5210. [read post]
1 Mar 2013, 9:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn't like it so it sued Schwab. [read post]
23 Mar 2017, 4:55 am
As in fully, finally, and forever.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, and as amended thereafter, public customer Claimant Hedberg, representing herself pro se, alleged negligence, churning, ... [read post]
12 Sep 2015, 9:38 pm
Joelson, Arbitration in the United States under the Financial Industry Regulatory Authority Ioannis Avgoustis, A short note on the Piraeus Maritime Arbitration Rules Manuel Gómez Carrión, Joinder of third parties: new institutional developments Rizwan Hussain, Taisei Corporation v A.M. [read post]
8 Feb 2013, 7:00 am
See Financial Industry Regulatory Authority, SEC No-Action Letter, (12/10/12), and http://sec.gov/divisions/marketreg/mr-noaction/2012/finra-121012-15c3-1.pdf. [read post]
25 Mar 2015, 7:51 am
Koogler The Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s FINRA Rule 2040, which will permit the payment of compensation, fees, concessions, discounts, commissions or other allowances to unregistered persons if a member firm determines the activities of the unregistered person in question do not require registration as a broker-dealer. [read post]
14 Oct 2019, 11:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kajouras’ customer complaints alleges that Kajouras recommended unsuitable investments, negligence, fraud, misrepresentations, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
22 Nov 2021, 1:47 pm
Khan attributes freedom of expression issues to overbroad government regulatory authority and financial control over media and lack of journalist access to information, among other sources. [read post]
10 Jan 2024, 9:16 am
The report, which was authored by the Subcommittee on Digital Assets and Blockchain Technology, notes that DeFi offers both promising opportunities and complex, significant risks to the US financial system, consumers and national security. [read post]
13 Sep 2018, 11:16 am
FINRA Disciplinary Action Also on Tuesday, September 11, 2018, The Financial Industry Regulatory Authority filed its first disciplinary action involving cryptocurrencies against a Massachusetts broker, claiming that he fraudulently sold HempCoins without registering them with the Securities and Exchange Commission, and that he engaged in the offer and sale of unregistered securities in contravention of Section 5 of the Securities Act of 1933 and thereby in… [read post]
13 Aug 2024, 9:37 am
FINRA, the Financial Industry Regulatory Authority, offers the opportunity to investors to recover monies through their arbitration process. [read post]
10 Jul 2017, 10:15 am
For the Financial Industry Regulatory Authority’s full findings see FINRA Case #2015046811401. [read post]
