Search for: "Financial Industry Regulatory Authority"
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5 Dec 2017, 9:46 am
FINRA (The Financial Industry Regulatory Authority) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
5 Dec 2017, 6:56 am
FINRA (The Financial Industry Regulatory Authority) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
4 Dec 2017, 1:49 pm
According to Trenchard’s BrokerCheck records, he was identified in a Financial Industry Regulatory Authority (FINRA) investigation on March 10, 2017. [read post]
4 Dec 2017, 12:23 pm
It also does not replace or otherwise affect existing mechanisms by which law enforcement engages directly with the financial industry. [read post]
4 Dec 2017, 12:23 pm
Investors can file an arbitration claim or request mediation through The Financial Industry Regulatory Authority (FINRA) when they have a dispute involving the business activities of a brokerage firm or one if its brokers. [read post]
4 Dec 2017, 11:22 am
According to the Financial Industry Regulatory Authority (FINRA), McMurray reportedly failed to provide FINRA-requested documents and information related to an investigation into the circumstances surrounding his termination from his member firm. [read post]
4 Dec 2017, 5:57 am
According to The Financial Industry Regulatory Authority (FINRA) financial advisor Christopher Wendel, was terminated in September 2017 by his firm, SA Stone Wealth Management Inc. for selling away. [read post]
3 Dec 2017, 9:39 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Broker Tommy Mai (Mai). [read post]
3 Dec 2017, 9:38 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against former Morgan Stanley broker Peter Doyle (Doyle). [read post]
3 Dec 2017, 9:38 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Valentine has been accused by FINRA of failing to have supervisory procedures for due diligence on private placement offerings. [read post]
1 Dec 2017, 3:00 pm
Acquisition RulesNote: This post was originally published in the October 2017 issue of the National Defense Industrial Association’s National Defense magazine. [read post]
1 Dec 2017, 11:54 am
In particular, he pointed to the Financial Conduct Authority’s (FCA) "Project Innovate," which was established in 2014, and the Bank of England’s "FinTech Accelerator" launched last year. [read post]
30 Nov 2017, 9:30 pm
” Richard Glick was sworn in as a commissioner of the Federal Energy Regulatory Commission (FERC), following the U.S. [read post]
30 Nov 2017, 1:34 pm
Let there be no mistake – this is a Royal Commission into the Australian financial services industry. [read post]
30 Nov 2017, 12:43 pm
Wall Street industry group SFIG joins the fray in U.S. [read post]
30 Nov 2017, 12:43 pm
Wall Street industry group SFIG joins the fray in U.S. [read post]
30 Nov 2017, 7:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisors Clement Chichester (Chichester) and Brittney Sias (Sias), in October 2017, were terminated by their firm, Western International Securities, Inc. [read post]
30 Nov 2017, 7:04 am
In August 2009, the Financial Industry Regulatory Authority (FINRA) sanctioned Baum following allegations he executed discretionary trades without written authorization in the account of a deceased customer and executed discretionary trades in other accounts without authorization. [read post]
