Search for: "Financial Industry Regulatory Authority"
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10 Nov 2017, 7:37 am
FINRA sanctions Ameritas Investment Corp. for Supervision Lapses According to reports, The Financial Industry Regulatory Authority (FINRA) has censured and fined Ameritas Investment Corp. [read post]
10 Nov 2017, 6:00 am
The Financial Industry Regulatory Authority (“FINRA”) has requested public comment regarding two proposed amendments to the organization’s arbitration rules. [read post]
10 Nov 2017, 5:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sibilla has been accused by customers of unsuitable investments, misrepresentations, excessive trading, and misuse of margin among other claims. [read post]
10 Nov 2017, 5:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Houck has been accused by a customer of churning, negligence, excessive trading, and breach of fiduciary duty from August 2011 to January 2016 causing $150,000 in damages. [read post]
9 Nov 2017, 3:44 pm
This definitional change will affect certain otherwise-authorized transactions with the expanded group of such officials. #### __________DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 740 and 746[Doc [read post]
9 Nov 2017, 2:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dennis McMurray (McMurray), in August 2017, was terminated by his firm, Girard Securities, Inc. [read post]
9 Nov 2017, 2:45 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jonathan Freeze (Freeze), in August 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Freeze’s alleged sale of variable annuities. [read post]
9 Nov 2017, 1:49 am
The fashion industry, mining industry and financial services industry have all been met with allegations ranging from human rights abuse to breach of climate change guidelines. [read post]
8 Nov 2017, 10:20 pm
On November 1, 2017, the Financial Industry Regulatory Authority (“FINRA”) disclosed that registered representative Masood “Mike” Husain Azad (“Mike Azad”) has been barred from the securities industry following a FINRA enforcement proceeding. [read post]
8 Nov 2017, 4:48 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Anthony Vultaggio, Jr. [read post]
8 Nov 2017, 4:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sinkula has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks and variable annuities among other claims. [read post]
8 Nov 2017, 4:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Parr (Parr), in October 2017, was under investigation by FINRA based on a preliminary determination that Parr’s conduct allegedly violated FINRA Rules 3240, 3280, and 2010. [read post]
7 Nov 2017, 12:56 pm
Newspapers, of course, continue to suffer their own financial woes and would benefit from any relief. [read post]
7 Nov 2017, 12:56 pm
Newspapers, of course, continue to suffer their own financial woes and would benefit from any relief. [read post]
6 Nov 2017, 9:30 pm
The Financial Industry Regulatory Authority, a broker-dealer self-regulatory organization, has cautioned that such a move would not necessarily be prudent. [read post]
6 Nov 2017, 4:10 pm
Under this option, the Commission would map best practices and local regulatory regimes with the aim of recommending a set of non-binding minimum standards and industry best practices. [read post]
6 Nov 2017, 9:38 am
According to the Financial Industry Regulatory Authority, in June 2017, FINRA began an examination into possible sales practice violations committed by Victor Michel while he was registered with Financial West Group (FWG). [read post]
6 Nov 2017, 7:33 am
According to the Financial Industry Regulatory Authority (FINRA), Lisa J. [read post]
6 Nov 2017, 4:48 am
On the other hand, when you read the fact pattern, you'll see that there are some nuances to this particular matter that may dispel some of your first impressions.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Cecil B. [read post]
6 Nov 2017, 3:19 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, pro se Claimant Waters asserted wrongful and discriminatory termination, and damage to professional reputation/defamation. [read post]
