Search for: "Financial Industry Regulatory Authority"
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7 Jul 2017, 2:55 am
Regardless of whether it is a public customer or associated person, our publisher Bill Singer, Esq. has argued against forcing litigants to forfeit their right to pursue their grievances before a court and channeling them into a pipeline that feeds business to a handful of so-called alternative dispute resolution forums, most notably that of the Financial Industry Regulatory Authority. [read post]
7 Jul 2017, 2:00 am
The regulatory and client response has been significant. [read post]
6 Jul 2017, 2:25 pm
According to BrokerCheck records The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Dennis Mehringer (Mehringer) over allegations that Mehringer made unsuitable recommendations that caused a customer to engage in excessively expensive short-term trading of mutual fund Class A shares. [read post]
6 Jul 2017, 12:02 pm
Securities and Exchange Commission is investigating bankers from Barclays Plc and Morgan Stanley for their roles in Puerto Rico bond sales, according to filings with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Jul 2017, 6:36 am
In terms of clarifying regulatory expectations, action undertaken since December 2016 includes: the BCBS publishing in June 2017 the final version of its revised guidance on correspondent banking; the FATF deciding in June 2017 that there will be no further work on the definition of correspondent banking given the lack of consensus by industry and the authorities about the change of definition. [read post]
5 Jul 2017, 1:31 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in November 2016, Thomas Oliphint (Oliphint) was discharged and terminated by LPL Financial LLC (LPL) over allegations that Oliphint violated firm policy regarding outside business activities. [read post]
5 Jul 2017, 6:45 am
These and other fascinating questions will be answered in today's BrokeAndBroker.com Blog.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, Jiaoni Zhu submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which … [read post]
5 Jul 2017, 6:42 am
Sometimes the Financial Industry Regulatory Authority's approach to regulation seems like an Easter egg hunt. [read post]
2 Jul 2017, 3:44 pm
The UK perspective In April the UK’s regulator, the Financial Conduct Authority (FCA), published a discussion paper on DLT. [read post]
30 Jun 2017, 11:52 am
The more recent incident which resulted in JP Morgan deciding to dismiss Mr Ktorza was a practice known as ‘short-filling’ in respect of trades; a practice which carried financial and regulatory risk for JP Morgan. [read post]
29 Jun 2017, 9:30 pm
Burton, Senior Fellow in Economic Policy at the Heritage Foundation, argued that the Financial Industry Regulatory Authority (FINRA), which regulates broker-dealers, should be reformed, as it is neither a “true self-regulatory organization nor a government agency” and is “largely unaccountable to the industry or to the public. [read post]
29 Jun 2017, 12:19 pm
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, Richard S. [read post]
29 Jun 2017, 9:56 am
By Amy Leisinger, J.D.The Financial Stability Board has issued a report discussing the potential financial stability implications of, and regulatory issues surrounding, technological innovation and the evolution of FinTech. [read post]
29 Jun 2017, 6:47 am
In summary the FCA found that: evidence suggests that there is weak price competition in a number of areas of the asset management industry. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
28 Jun 2017, 7:48 am
A pragmatic timetable is key to achieving this, given the major regulatory changes already in the pipeline and the preparations for Brexit. [read post]
27 Jun 2017, 2:31 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Michael Jay Sharenow (Sharenow). [read post]
27 Jun 2017, 6:26 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Richard Sampley of Atlanta, Georgia, a registered representative formerly with Raymond James, Morgan Keegan and UBS Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member for ten months, and assessed a fine of $15,000. [read post]
27 Jun 2017, 5:58 am
Pete Lappin suspended by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Pete Lappin of Las Vegas, Nevada, a registered representative formerly with MetLife Securities, New England Securities and Wedbush Securities submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member for three months, and ordered to pay restitution to customers. [read post]
27 Jun 2017, 5:08 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Kenley Brisard of Weston, Florida, a registered representative formerly with Ridgeway & Conger and Gunn Allen Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity. [read post]
