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6 Feb 2017, 2:06 pm
It is suggested that the phased process might relate to the future legal and regulatory framework for business. [read post]
ABA identifies various industry concerns in fair lending white paper submitted to Treasury Secretary
13 Jun 2017, 7:42 am
” CFPB Focus: The comment that the focus of the Bureau should remain on consumer credit culminates in the following specific recommendations: (i) repeal of Section 1071 of the Dodd-Frank Act relating to the collection and reporting of data concerning lending to “women-owned, minority-owned and small business”; (ii) reassigning the implementation of Section 1071 to the Small Business Administration as an interim measure; and (iii) eliminating “any vestige of Bureau… [read post]
27 Mar 2017, 4:00 am
We know from experience that done properly, this can increase regulatory efficiency and the certainty that industry desires, while ensuring principles of sustainability are upheld. [read post]
13 Nov 2019, 9:05 pm
As European soccer grew to a tens of billions of dollars industry, club spending and debt skyrocketed. [read post]
4 Jun 2019, 7:56 am
” Then the Financial Industry Regulatory Authority Inc. [read post]
24 May 2021, 7:26 am
That is the same year that Financial Industry Regulatory Authority (FINRA) barred him from the industry. [read post]
7 Jul 2023, 1:28 pm
Attorney’s Office for the District of New Jersey, Financial Industry Regulatory Authority, Army Criminal Investigation Division, Defense Criminal Investigative Service, FBI, and Homeland Security Investigations. [read post]
16 Mar 2018, 10:51 am
This latest decision comes nearly a year a Texas district court judge roundly rejected the investment industry advocacy groups’ arguments that the DOL exceeded its authority in crafting the fiduciary rule. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, Citigroup Global Markets, Inc. [read post]
20 Dec 2011, 1:47 pm
Wells Fargo Investments LLC has been fined $2 million for failure to supervise the conduct of one of its brokers who sold unsuitable reverse convertible securities to elderly customers, the Financial Industry Regulatory Authority, or FINRA, announced on Dec. 15. [read post]
21 Oct 2021, 10:08 am
FINRA Files Complaint against Spartan Capital Securities, LLC According to the Financial Industry Regulatory (FINRA), its Department of Enforcement has filed a complaint against Spartan Capital Securities, LLC (CRD # 146251) in connection with its alleged failure to file or timely file amendments to Forms U4 and U5. [read post]
16 Apr 2020, 4:47 pm
Additionally, the Modification authorizes the use of remote notarization subject to certain restrictions. [read post]
14 Oct 2015, 2:09 pm
On October 13, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Santander Securities LLC (“Santander Securities”) has to pay approximately $6.4 million in fines for supervisory related violations surrounding the sale of Puerto Rican Municipal Bonds (“PRMBs”) to Puerto Rican customers. [read post]
21 Mar 2014, 5:58 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Edward D. [read post]
30 Jul 2022, 6:30 am
Today, the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). [read post]
7 Nov 2013, 6:11 am
The Financial Industry Regulatory Authority (FINRA) has barred broker Richard Manchester (Manchester) over allegations that his participation in several private placements caused his employing firm to fail to establish an escrow account for several contingency offerings, broke escrow before the minimum contingency amounts were met, and made unauthorized use of offering proceeds by lending offering proceeds to other private placements. [read post]
22 Oct 2014, 5:33 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Feltl & Company (Feltl) and fined the firm $1,000,000 concerning allegations that the firm, between January 2008, and February 2012. failed to comply with the suitability, disclosure, and record-keeping requirements for broker-dealers who engage in penny stock business. [read post]
6 Dec 2013, 6:43 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Source Capital Group (Source Capital) registered representatives Kevin Cline (Cline), Robert Burr (Burr), Vincent Christopher (Christopher), and Thomas Gilleland (Gilleland). [read post]
29 Jun 2020, 2:53 pm
Christopher Brummer] and FINRA [the Financial Industry Regulatory Authority] claim are protected from disclosure … as attorney work product or … as material prepared in anticipation of litigation. [read post]
11 Nov 2013, 6:06 am
(Matthews) were recently suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that Pizzuti failed to adequately inquire into Richard’s Pizzuti (Richard) and Daniel Voccia’s (Voccia) outside business activities and involvement in private securities transactions despite his knowledge of their activities. [read post]
