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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]
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]
