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8 Oct 2021, 10:45 am
FINRA Bars Broker Eric Hollifield after Allegations of Conversion of Funds According to the Financial Industry Regulatory Authority (FINRA) on October 7, 2021, the regulator has barred financial advisor Eric Hollifield (CRD#: 3091319) from associating with any FINRA member at any time. [read post]
7 Oct 2021, 6:37 am
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]
7 Oct 2021, 6:13 am
The Financial Industry Regulatory Authority (FINRA) requires that brokers have “a reasonable basis to believe a recommended transaction or investment strategy” is suitable based on the investment profile of their customer. [read post]
6 Oct 2021, 5:27 am
Gensler also mentioned that some ETPs have features that can amplify an investor’s gains or losses by significant multiples.For example, a basic explainer available on the website of the Financial Industry Regulatory Authority Inc. describes the several types of leveraged ETPs. [read post]
1 Oct 2021, 9:19 am
The HITECH Act authorizes the FTC to seek civil penalties for violations. [read post]
30 Sep 2021, 4:50 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
29 Sep 2021, 10:40 am
FINRA updates Private Placement Rules in 2021 The Financial Industry Regulatory Authority Inc (FINRA), the broker dealer self-regulator, is changing its rules regarding private placements starting October 1, 2021. [read post]
Group Health Plan Section 111 Medicare Secondary Payer (MSP) Records To Accept Future Effective Date
27 Sep 2021, 1:01 pm
About Solutions Law Press, Inc. [read post]
27 Sep 2021, 4:27 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
23 Sep 2021, 6:59 pm
FINRA Bars Michel Shillin after Customers File Complaints On December 18, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly barred Shillin (CRD#: 5927156, Altoona, WI) from association with any FINRA member in all capacities after he purportedly refused to appear for on-the-record testimony. [read post]
22 Sep 2021, 12:53 pm
Berhane Kassahun AXA Advisors, LLC MSI Financial Services, Inc. [read post]
22 Sep 2021, 10:28 am
after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Ronald Joseph Giovino, Jr. [read post]
22 Sep 2021, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2021, 7:24 am
Pacer Financial, Inc. [read post]
20 Sep 2021, 11:44 am
Cyber Command, with particular emphasis on whether all such NSA support is properly authorized. i. [read post]
20 Sep 2021, 6:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Stewart’s customer complaints allege that Stewart recommended unsuitable investments in illiquid alternative investments – a high risk investment category. [read post]
17 Sep 2021, 1:02 pm
Waterdrop Inc. [read post]
17 Sep 2021, 4:00 am
But he was also expected to introduce and lobby for laws or regulatory changes Burris wanted, the indictment said. [read post]
15 Sep 2021, 9:52 am
About Solutions Law Press, Inc. [read post]
15 Sep 2021, 5:48 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Hutkin’s customer complaints allege that Hutkin recommended unsuitable investments, engaged in churning, overcharged certain corporate security debts, and engaged in unapproved outside business practices. [read post]
