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16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
16 Aug 2017, 4:37 am
For those of you who love mandatory customer and industry arbitration before the Financial Industry Regulatory Authority ("FINRA"), I am pleased to present today's analysis of a recent public-customer arbitration. [read post]
15 Aug 2017, 11:58 am
FINRA Bars Jay Dee Jordan for Numerous Violations According to the Financial Industry Regulatory Authority, between June 1, 2012 and March 31, 2016, Jay Dee Jordan allegedly engaged in a series of significant violations of FlNRA Rules that resulted in substantial customer harm. [read post]
15 Aug 2017, 10:06 am
Blum for Failure to Appear for Testimony According to the Financial Industry Regulatory Authority, former financial advisor Paul V. [read post]
14 Aug 2017, 12:51 pm
, THE PUBLISHER OF THE BROKEANDBROKER.COM BLOG:On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") announced that Stephen A. [read post]
14 Aug 2017, 3:50 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying t... [read post]
14 Aug 2017, 3:49 am
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
10 Aug 2017, 9:32 am
Lightsey Fails to Appear at FINRA Hearing According to The Financial Industry Regulatory Authority, Bryan C. [read post]
8 Aug 2017, 8:54 am
Quits levels and rates by industry and region, seasonally adjusted. [read post]
7 Aug 2017, 3:47 am
Yeah, I know, that's one hell of a segue.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2017, Claimant Taylor asserted breach of contract (emp... [read post]
5 Aug 2017, 5:37 pm
The emphasis is on the study of the legal and regulatory frameworks. [read post]
5 Aug 2017, 3:03 am
" Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Amended Arbitration Statement of Claim filed in April 2015, former associated person Claimant Sayre asserted breaches of contract and the covenant of good faith and fair dealing; negligence; intentional misrepresentation;... [read post]
4 Aug 2017, 4:50 pm
Even before the nomination, Brummer held a prominent position as an adjudicator on the Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council (NAC) — a government-authorized self-regulatory system that has the power to effectively ban stockbrokers and others from the industry. [read post]
3 Aug 2017, 6:06 am
In its report, the SEC also clarified that The DAO offering would not fall under the JOBS Act’s crowdfunding exemption because, among other things, “it was not a broker-dealer or a funding portal registered with the SEC and the Financial Industry Regulatory Authority. [read post]
2 Aug 2017, 3:43 pm
Gana LLP is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker David Menashe (Menashe). [read post]
2 Aug 2017, 3:40 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Dan Droeg (Droeg). [read post]
2 Aug 2017, 3:34 pm
Zullo Barred from the Securities Industry According to the Financial Industry Regulatory Authority, Roger S. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
2 Aug 2017, 7:18 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, Swiss Financial Market Supervisory Authority, Hong Kong Securities and Futures Commission, Liechtenstein Financial Market Authority, Guernsey Financial Services Commission, British Columbia Securities Commission, Québec Autorité des Marchés Financier, Ontario Securities Commission, Turks and Caicos… [read post]
