Search for: "Financial Industry Regulatory Authority"
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2 Aug 2017, 6:45 am
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]
1 Aug 2017, 11:17 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findi... [read post]
1 Aug 2017, 8:14 am
Zullo Barred from the Securities Industry According to the Financial Industry Regulatory Authority, Roger S. [read post]
1 Aug 2017, 6:06 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 the findings, prior to a regulatory hearing, and without an adjudication of any issue, John Kenneth Lawrence Glove... [read post]
31 Jul 2017, 12:45 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against financial advisor Gregory Pease (Pease). [read post]
31 Jul 2017, 12:40 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Gregory Tucker. [read post]
28 Jul 2017, 6:48 am
Kim Dee Isaacson Barred for Allegations of Unauthorized Trades According to reports, The Financial Industry Regulatory Authority’s enforcement unit has permanently barred former Morgan Stanley broker Kim Dee Isaacson for overstating a client’s account balance by as much as $3.1 million while reportedly making hundreds of unauthorized trades, according to a settlement order posted Wednesday. [read post]
27 Jul 2017, 4:10 pm
In a timely effort, the Financial Industry Regulatory Authority (“FINRA”) recently gathered top U.S. financial regulators and industry stakeholders to participate in its 2017 Blockchain Symposium. [read post]
27 Jul 2017, 4:10 pm
In a timely effort, the Financial Industry Regulatory Authority (“FINRA”) recently gathered top U.S. financial regulators and industry stakeholders to participate in its 2017 Blockchain Symposium. [read post]
27 Jul 2017, 7:13 am
Anthony Ferrone Barred for Allegations of Unsuitable trading According to reports, The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley broker Anthony Ferrone from the securities industry due to allegations he engaged in unsuitable trading of unit investment trusts in clients’ accounts. [read post]
25 Jul 2017, 10:32 pm
“The DAO has been described as a “crowdfunding contract” but it would not have met the requirements of the Regulation 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]
25 Jul 2017, 1:31 pm
The DAO has been described as a "crowdfunding contract" but it would not have met the requirements of the Regulation 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]
25 Jul 2017, 10:38 am
Among the more colorful allegations is that the former firm engaged in "blackballing" its former employee.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, Claimant Tullett Prebon Financial Services LLC asserted breaches of contract, implied covenant of good faith and fair dealing, and loyalty; tortious interference with contract and prospective economic… [read post]
24 Jul 2017, 2:34 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker David Silberg (Silberg). [read post]
24 Jul 2017, 3:47 am
Notwithstanding the dedicated efforts of a grassroots coalition spearheaded by Stephen Kohn, candidate for election as FINRA's 2017 Small Firm Governor, the Financial Industry Regulatory Authority has rejected appeals to reconsider the size of the fine and the length of the suspension imposed upon Respondent Botkin, who is serving a four-month suspension and liable for a $15,000 fine. [read post]
22 Jul 2017, 9:28 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]
21 Jul 2017, 2:07 pm
The case’s origins go back to late 2014, when Brummer served on an adjudicatory body of the Financial Industry Regulatory Authority (FINRA) that barred two stockbrokers from future involvement in the industry; Wey apparently has had dealings with them. [read post]
21 Jul 2017, 8:53 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) against barred broker Clay Hoffman. [read post]
21 Jul 2017, 8:52 am
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Alan Rose. [read post]
21 Jul 2017, 8:35 am
The CFPB’s Spring 2017 rulemaking agenda has been published as part of the Spring 2017 Unified Agenda of Federal Regulatory and Deregulatory Actions. [read post]
