Search for: "Financial Industry Regulatory Authority"
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20 Jul 2017, 3:09 pm
From that scrutiny emerged the Fair Debt Collection Practices Act, a statute that authorizes private lawsuits and weighty fines designed to deter wayward collection practices. [read post]
20 Jul 2017, 12:46 pm
If you are familiar with the background story, CLICK HERE to go directly to today's updated material.As previously reported, the Financial Industry Regulatory Authority ("FINRA") entered into an Acceptance, Waiver and Consent settlement ("AWC") with Respondent Richard S. [read post]
20 Jul 2017, 11:18 am
FINRA censures and fines Goldman Sachs for Reporting Issues According to the Financial Industry Regulatory Authority (FINRA) Goldman Sachs & Co. [read post]
20 Jul 2017, 8:33 am
FINRA sanctions Trident Partners LTD for Violations Relating to Sale of Steepeners The Financial Industry Regulatory Authority Inc. has censured Trident Partners LTD and fined it $50,000 for supervisory system violations relating to the sale of steepeners. [read post]
20 Jul 2017, 7:46 am
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against advisor Gary Kenneth Rasmussen. [read post]
20 Jul 2017, 7:38 am
Mcelduff’s BrokerCheck records from the Financial Industry Regulatory Authority (FINRA) shows that the most recent customer complaint against Mcelduff was filed in December 2016. [read post]
20 Jul 2017, 4:34 am
They are generic in nature and not tailored or intended to be relied upon by any person, business, entity or other party for purposes for determining the legal, financial or other appropriateness, defensibility, suitability, outcome or consequences of any strategy, action, course of action, or any other facts, circumstances, event or conduct. [read post]
19 Jul 2017, 1:35 pm
Before a final compliance date of June 3, 2017, several industry associations filed a petition with the EPA seeking reconsideration. [read post]
19 Jul 2017, 11:28 am
Initiated in 2012, Operation Choke Point targeted banks serving online payday lenders and other companies that have raised regulatory or “reputational” concerns. [read post]
19 Jul 2017, 9:11 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]
18 Jul 2017, 1:31 pm
According to BrokerCheck records Terry Brodt (Brodt) has been sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that, while associated with Garden State Securities, Inc. [read post]
18 Jul 2017, 9:36 am
The Financial Industry Regulatory Authority’s arbitration award was beyond what the claimants initially sought. [read post]
18 Jul 2017, 8:23 am
The Canadian government’s deadline for written submissions to the consultation on the renegotiation of the North American Free Trade Agreement closes today (though the government just announced that it will continue to accept comments on its form after the deadline). [read post]
17 Jul 2017, 1:07 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Scott Forrest Goldman (Goldman). [read post]
17 Jul 2017, 12:43 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints concerning alleged misrepresentation and an employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Elaine Marie Zito (Zito). [read post]
17 Jul 2017, 2:56 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2016 and as amended thereafter, public customer Claimants asserted violations of state and federal securitie... [read post]
15 Jul 2017, 10:52 am
For example, the Assistant Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
13 Jul 2017, 9:30 pm
Industry challenged the rule as “unlawful and arbitrary and capricious. [read post]
13 Jul 2017, 7:17 pm
For example, the Assistant Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
13 Jul 2017, 7:07 am
The case involved corporate bonds, the Financial Industry Regulatory Authority Inc. said in its award document. [read post]
