Search for: "Financial Industry Regulatory Authority"
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21 Dec 2017, 12:40 pm
On December 13, 2017, the Financial Industry Regulatory Authority (“FINRA”) disclosed that registered representative Brian Michael Travers has been barred from the securities industry. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Jeanette Adcock (Adcock) has been sanctioned for allegedly not complying with Illinois Securities Law. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
21 Dec 2017, 12:08 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael McTigue (McTigue), in August 2017, was terminated by his employer ProEquities after the firm alleged that during a recent branch inspection of the firm discovered issues relating to (1) use of unapproved email address; (2) use of unapproved performance report; (3) customer signature discrepancies on firm paperwork; (4) frequent trading of mutual fund A… [read post]
21 Dec 2017, 6:38 am
The parties should agree that UK regulatory authorities grant equivalence and recognition under English law effective on exit day to EU27 CCP’s authorized under EMIR, EU27 trading venues authorized under the Markets in Financial Instruments Directive II (MiFID II); and EU27 trade repositories registered under EMIR;Cooperation arrangements. [read post]
21 Dec 2017, 5:23 am
.” — PIABAUntil recently, non-attorney representatives have been permitted by the FINRA (Financial Industry Regulatory Authority) to advocate on behalf of aggrieved investors in their arbitration forum. [read post]
21 Dec 2017, 4:50 am
A subsidiary is a separate legal entity to its parent company and must meet regulatory capital requirements. [read post]
20 Dec 2017, 3:11 pm
Its importance derives from the authority of its writer. [read post]
20 Dec 2017, 9:52 am
In the letter, Mr Barclay summarised the proposed approach as follows: in financial services, a significant amount of the regulatory framework is within EU law. [read post]
20 Dec 2017, 7:02 am
The Financial Industry Regulatory Authority (FINRA) today fined Merrill Lynch $1.4 million for failing to establish a reasonable supervisory system and procedures to identify and evaluate extended settlement transactions, and for related rule violations. [read post]
20 Dec 2017, 7:00 am
The Financial Industry Regulatory Authority (FINRA), censured and fined CFD Investments $30,000 for allegedly failing to establish, maintain and enforce a reasonable supervisory system designed to ensure the review of its representatives’ sales of leveraged and inverse exchange-traded funds (non-traditional ETFs). [read post]
20 Dec 2017, 6:59 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), RNR Securities was fined and censured. [read post]
19 Dec 2017, 10:43 am
FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. [read post]
19 Dec 2017, 7:39 am
Leslie Koonce denied involvement in private securities transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former LPL broker Leslie Koonce for misrepresenting his involvement in the sale of private securities. [read post]
18 Dec 2017, 2:07 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Ahmed Gheith (Gheith), in August 2017, was terminated by his employer Paulson Investment Company, LLC (Paulson Investment) after the firm alleged that Gheith was terminated subsequent to discovery of violations of firm supervisory procedures, failure to provide honest answers on annual questionnaires, violations of FINRA Rule 3280, and due to initiation of customer… [read post]
18 Dec 2017, 2:06 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Paynter has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Masood Azad (Azad), in May 2017, was terminated by his employer First Allied Securities, Inc. [read post]
18 Dec 2017, 10:09 am
In terms of next steps, the FCA will: continue to monitor DLT-related market developments, and keep its rules and guidance under review in the light of those developments, although the FCA has not identified a need to propose specific rule changes at this juncture; continue with its close engagement with DLT use cases and industry stakeholders through its Innovate initiative; work closely with national and international regulatory bodies to shape regulatory developments… [read post]
18 Dec 2017, 3:43 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), wit... [read post]
17 Dec 2017, 3:28 pm
Presumably to take advantage of the usury-friendly regulatory climate there. [read post]
