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26 Sep 2017, 1:11 pm
Attorney’s Office for the Northern District of Illinois, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
26 Sep 2017, 11:34 am
With a workforce of about 4,600 staff in Washington and across our 11 regional offices, the SEC oversees, among other things (1) approximately $72 trillion in securities trading annually on U.S. equity markets; (2) the disclosures of over 8,100 public companies, of which 4,300 are exchange listed; and (3) the activities of over 26,000 registered entities, including investment advisers, broker-dealers, transfer agents, securities exchanges, clearing agencies, mutual funds, exchange traded funds, the… [read post]
26 Sep 2017, 8:45 am
Securities industry watchdog, FINRA (Financial Industry Regulatory Authority) recently released data on its effort to increase diversity among its arbitrators. [read post]
26 Sep 2017, 7:06 am
The investment lawyers of Gana LLP are investigating allegations made by The Financial Industry Regulatory Authority (FINRA) against former First Allied broker John Kai (Kai), working out of Hilo, Hawaii. [read post]
26 Sep 2017, 6:42 am
WFG has recently been the focus of The Financial Industry Regulatory Authority for supervisory issues. [read post]
26 Sep 2017, 6:32 am
Morgan Stanley to pay $13 Million in Fines and Restitution According to The Financial Industry Regulatory Authority (FINRA) on Monday, Morgan Stanley must pay $13 million in fines and restitution to clients for inadequately supervising certain short-term trades. [read post]
26 Sep 2017, 4:28 am
Reallocating competition authority to a motivated financial agency would better position regulators to safeguard the future of finance. [read post]
25 Sep 2017, 7:41 am
FINRA Bars Dale Krueger for Alleged Collectible Medal Investment Scheme According to the Financial Industry Regulatory Authority, Dale Krueger has been barred from the securities industry. [read post]
25 Sep 2017, 7:28 am
Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
25 Sep 2017, 5:00 am
By John Filar AtwoodIn an effort to further the transition to a capital markets union with integrated financial supervision, the European Commission has issued plans to reform the European Union’s financial industry supervisory structure. [read post]
25 Sep 2017, 3:41 am
Among the BrokeAndBroker.com Blog's most frequently reported Financial Industry Regulatory Authority ("FINRA") issues is the finding that the failure to disclose a reportable event was "willful. [read post]
25 Sep 2017, 1:15 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
25 Sep 2017, 1:15 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
25 Sep 2017, 1:15 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
24 Sep 2017, 7:34 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Yahney has been accused by customers of unsuitable investment advice and investment strategy and appears to include options recommendations. [read post]
24 Sep 2017, 7:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Wyman (Wyman), in January 2017, was barred by FINRA over his failure to respond to FINRA inquiries. [read post]
22 Sep 2017, 7:49 am
Investors are reminded to keep on the lookout for schemes that seek to attract people who are eager to invest with companies that genuinely provide assistance to those in need,” said Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement.Under the federal securities laws, the SEC can suspend trading in a stock for 10 days and generally prohibit a broker-dealer from soliciting investors to buy or sell the stock again until certain reporting requirements are met.The SEC… [read post]
22 Sep 2017, 7:19 am
The Financial Industry Regulatory Authority (FINRA) has moved to diversify its pool of new arbitrators dealing with investor disputes by increasing the numbers of both African American and women arbitrators in 2016. [read post]
21 Sep 2017, 3:00 am
The authors speculate that the difference has to do with lawyers’ risk averse nature – it’s a positive in companies that face a lot of regulatory & litigation risk, but a negative in other settings. [read post]
20 Sep 2017, 10:10 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against John P. [read post]
