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21 Nov 2017, 9:55 am
On November 8, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a broker named Hank Mark Werner of upstate New York had been barred from the securities industry. [read post]
21 Nov 2017, 6:18 am
(Pix © Larry Catá Backer 2017)In October 2017 Professor Knox, UN Special Rapporteur on human rights and the environment, circulated a Draft Guidelines on Human Rights and the Environment for which he is soliciting views (available here in English, French, Spanish). [read post]
20 Nov 2017, 12:08 pm
FINRA Censures First Allied Securities for Mutual Fund Sales charge waivers According to the Financial Industry Regulatory Authority, First Allied Securities, Inc. [read post]
20 Nov 2017, 7:34 am
., often criticizes the Financial Industry Regulatory Authority for what he calls a lack of "content and context" in its various published arbitration and regulatory documents. [read post]
17 Nov 2017, 10:12 am
Hoffmann for Reportedly Refusing to Testify According to the Financial Industry Regulatory Authority, Robert H. [read post]
16 Nov 2017, 9:30 pm
Noreika, who has strong banking industry ties. [read post]
16 Nov 2017, 3:48 pm
As recently reported, the Financial Industry Regulatory Authority (“FINRA”) barred broker John Phillip Correnti (CRD# 5319471) in light of his failure to provide testimony and documents in connection with an investigation into potential violations of applicable securities industry rules. [read post]
16 Nov 2017, 1:05 pm
All of which makes for some interesting reading and raises some provocative questions.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, Bufus Outlaw, Jr. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA… [read post]
16 Nov 2017, 11:00 am
SAGIA (Saudi Arabian General Investment Authority), formed in 2000, and given more legal authority in 2006, is the regulator of these cities. [read post]
16 Nov 2017, 10:39 am
Hornor Townsend & Kent – Failure to Supervise Variable Annuity Share Class Recommendations According to the Financial Industry Regulatory Authority, Hornor Townsend & Kent in Horsham, PA has reportedly been censured and fined $275,000 for supervisory issues. [read post]
16 Nov 2017, 10:33 am
As part of its ongoing enforcement focus on variable annuity (“VA”) sales practices, the Financial Industry Regulatory Authority (“FINRA”) recently censured and fined Hornor, Townsend & Kent, Inc. [read post]
15 Nov 2017, 6:22 pm
The investment fraud attorneys with Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Sterling (Sterling) currently associated with Geneos Wealth Management, Inc. [read post]
15 Nov 2017, 6:20 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodriguez has been accused by customers of unsuitable investments among other claims. [read post]
15 Nov 2017, 12:54 pm
If your financial advisor has recommended an unsuitable investment in a Master Limited Partnership (or “MLP”) without a reasonable basis for the recommendation, you may be able to recover losses through arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
15 Nov 2017, 12:00 pm
Last year, I used some of my time as a guest blogger to draw some attention to the persons appointed as public governors at the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2017, 6:48 am
According to the Financial Industry Regulatory Authority, Cetera Investment Services LLC (CRD #15340, St. [read post]
15 Nov 2017, 5:04 am
However, in 2009, the Financial Industry Regulatory Authority (“FINRA”) published Regulatory Notice 09-31 informing members that nontraditional ETFs were “’highly complex financial instruments’ and unsuitable for retail investors who hold them for more than one trading session, particularly in volatile markets. [read post]
14 Nov 2017, 9:30 pm
Austin contends that one financial market that requires protection from pump-and-dump schemes is the United States’ Over-the-Counter (OTC) Market, which is operated by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Nov 2017, 12:46 pm
A recent Financial Industry Regulatory Authority regulatory settlement chall... [read post]
14 Nov 2017, 12:21 pm
Correnti Reportedly Failed to Provide Information for FINRA’s Investigation According to the Financial Industry Regulatory Authority, John P. [read post]
