Search for: "Financial Industry Regulatory Authority"
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1 Jan 2015, 5:48 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Arque Capital, Ltd. [read post]
4 Mar 2014, 6:06 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Royal Securities Company (Royal Securities) concerning allegations Royal lacked adequate supervision and controls in several areas. [read post]
24 Jun 2015, 2:40 pm
On June 22, 2015, the Financial Industry Regulatory Authority, Inc. [read post]
20 Mar 2014, 5:35 am
The Financial Industry Regulatory Authority (FINRA) ordered J.P. [read post]
27 May 2010, 5:08 am
WASHINGTON andmdash; The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [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]
16 Feb 2022, 12:32 pm
For the last 35 years, retail investors seeking recovery of stock market investment losses have had no other choice but to arbitrate their disputes at the Financial Industry Regulatory Authority (FINRA). [read post]
13 Sep 2021, 1:15 pm
FINRA Sanctions Deutsche Bank Securities for Supervisory Issues Related to Tender offers According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Deutsche Bank Securities (CRD #2525) $800,000, of which $156,250 is payable to FINRA for supervisory issues. [read post]
6 Oct 2022, 9:56 am
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined Barclays Capital Inc. [read post]
27 May 2021, 7:47 am
FINRA Reportedly Decides Mercer Hicks III Recommended Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA), the regulator’s hearing has reportedly rendered a decision on May 19, 2021 wherein broker Mercer Hicks III, of Charlotte, NC, is barred from association with any FINRA member in all capacities and ordered to pay disgorgement to FINRA in the amount of $38,812.60 in commissions received. [read post]
6 Oct 2022, 7:32 am
UBS Sanctioned for Reg SHO Violations and Supervisory Failures According to a press announcement this week, the Financial Industry Regulatory Authority (FINRA) has reportedly fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO violations and supervisory failures spanning a period of nine years. [read post]
12 Feb 2014, 4:42 pm
Prudential Regulatory Authority, and, in the United States, the Office of the Comptroller of the Currency, the Securities and Exchange Commission and the Federal Reserve. [read post]
4 Feb 2009, 7:44 am
Those proposals for regulatory change need to be grounded in analysis of what happened - why this crisis occurred. [read post]
24 Sep 2019, 3:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Hertz concern allegations of unsuitable investment recommendations. [read post]
6 Dec 2011, 2:41 pm
As Financial Industry Regulatory Authority (FINRA) investor education executive Gerri Walsh was quoted as saying, “The vast majority of investment professionals are hard-working individuals who look out for the interests of their clients and customers. [read post]
12 May 2024, 9:01 pm
Under FL HB 3, “financial institutions subject to the financial institutions codes” are required to provide annual attestations.[15] Because, as noted above, the Financial Institutions Codes “apply to all state-authorized or state-chartered financial institutions,”[16] based on a plain reading of the statute, only “state-authorized or state-chartered” financial institutions should be required to… [read post]
9 Feb 2015, 6:50 am
Recently, both the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have investigated the electronic cigarette, vaporizer, or “vape” markets. [read post]
3 May 2010, 1:22 pm
Hedge Fund Industry Objects to Broad Definition of Swap Dealer and Major Swap Participant in Senate Reform LegislationThe hedge fund industry is concerned that the Senate financial reform bill’s current definitions of swap dealer and major swap participant are overly broad in that they may capture regulated, non-bank participants that are already federally regulated and that secure their swap transactions with collateral. [read post]
10 Jul 2021, 7:00 am
Colombian conditions in which journalists are not attacked at demonstrations, but discreetly and costly by representatives of the white collar industry. [read post]
10 Jul 2021, 7:00 am
Colombian conditions in which journalists are not attacked at demonstrations, but discreetly and costly by representatives of the white collar industry. [read post]
