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23 Aug 2017, 11:34 am
While the commencement of the FSR Act is unlikely to drastically change the existing regulatory framework with immediate effect i.e. the current ambit of financial services legislation and licenses will remain in force, it will soon herald changes in respect of regulatory supervision with each type of financial institution being allocated to either the Prudential Authority or the Financial Sector Conduct Authority. [read post]
23 Aug 2017, 11:30 am
While the commencement of the FSR Act is unlikely to drastically change the existing regulatory framework with immediate effect i.e. the current ambit of financial services legislation and licenses will remain in force, it will soon herald changes in respect of regulatory supervision with each type of financial institution being allocated to either the Prudential Authority or the Financial Sector Conduct Authority. [read post]
23 Aug 2017, 7:51 am
FINRA Broker Disciplinary Action Report August 2017Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Aug 2017, 6:52 am
In a recent Financial Industry Regulatory Authority ("FINRA") regulatory settlement, a stockbroker was barred from the industry as a result of allegedly failing to properly notify his employer and obtain its approval for soliciting firm customers to invest in his own company. [read post]
23 Aug 2017, 3:16 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, the Claimant IRAs asserted breach of fiduciary duty; misrepresentation/non-disclosures; and omission of facts in connection with their ... [read post]
22 Aug 2017, 1:29 pm
See HERE.I had the privilege of co-authoring this paper with a global expert on trade and finance, Bashar Malkawi, Dean of the University of Sharjah College of Law. [read post]
22 Aug 2017, 6:11 am
The large unpaid arbitration award comes at a time when the Financial Industry Regulatory Authority Inc. board last month advanced proposals that would give it more opportunities to put pressure on financial firms that avoid paying arbitration claims. [read post]
21 Aug 2017, 9:40 pm
Stamer also is a highly popular lecturer, symposia chair and author, who publishes and speaks extensively on health and managed care industry, human resources, employment and other privacy, data security and other technology, regulatory and operational risk management for the American Bar Association, ALI-ABA, American Health Lawyers, Society of Human Resources Professionals, the Southwest Benefits Association, the Society of Employee Benefits Administrators, the American… [read post]
21 Aug 2017, 1:30 pm
Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA CRD 4131948) entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) on May 27, 2015. [read post]
21 Aug 2017, 12:29 pm
Authors: Vicki J. [read post]
20 Aug 2017, 3:29 pm
The publisher and the author expressly disclaim [read post]
18 Aug 2017, 8:55 am
On August 20, new pay-to-play regulations of the Financial Industry Regulatory Authority (FINRA) take effect. [read post]
17 Aug 2017, 9:30 pm
” In a report, the Consumer Financial Protection Bureau’s (CFPB) Office of Research examined “the behavior of student loan borrowers” using data from the CFPB’s Consumer Credit Panel. [read post]
U.S. News Names 2017-2018 “Best” Hospitals; Patient Usefulness Starts With Metholodogy Understanding
17 Aug 2017, 4:03 pm
About The Author Recognized as “Legal Leader™ Texas Top Rated Lawyer” in both Health Care Law and Labor and Employment Law, a “Texas Top Lawyer,” and an “AV-Preeminent” and “Top Rated Lawyer” by Martindale-Hubble, singled out as among the “Best Lawyers In Dallas” in employee benefits by D Magazine; Cynthia Marcotte Stamer is a practicing attorney and management consultant, author, public policy advocate and… [read post]
17 Aug 2017, 11:44 am
By granting certiorari in this case, the Supreme Court may well have recognized that, under PASPA, Congress has pushed its authority too far. [read post]
17 Aug 2017, 7:34 am
In addition, the former financial advisers reportedly claim their request for arbitration should be granted based on their written employment contracts as well as under the Financial Industry Regulatory Authority’s arbitration rules. [read post]
17 Aug 2017, 7:05 am
Absent repeal of the Section 113 determination authority, CCMC believes that exercise of the Section 120 recommendation authority, in coordination with a company’s or industry’s primary federal regulator, is a “more effective means of addressing systemic risk, promoting financial stability, and encouraging economic growth. [read post]
16 Aug 2017, 12:35 pm
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Financial Industry Regulatory Authority, and the Options Regulatory Surveillance 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]
16 Aug 2017, 11:45 am
Koehler According to the Financial Industry Regulatory Authority, on June 29, 2017, Mark C. [read post]
16 Aug 2017, 10:59 am
Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority, on June 22, 2017, an OHO Decision became final in which Legend Securities, Inc. [read post]
