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26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
26 Jun 2017, 1:00 pm
Michael Babyak barred by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Babyak of Randolph, New Jersey, a registered representative formerly with Leigh Baldwin and LPL Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity. [read post]
26 Jun 2017, 12:44 pm
FINRA fines Fenix Securities In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Fenix Securities of New York, NY submitted an acceptance, waiver and consent letter regarding its failure to register foreign associates prior to their placing orders on behalf of customers. [read post]
26 Jun 2017, 9:47 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Houlihan Capital of Chicago, IL submitted an acceptance, waiver and consent letter regarding its participation in a five million dollar private placement of securities. [read post]
26 Jun 2017, 3:53 am
In the end, the registered rep prevailed and how she did it and why the arbitrator ruled in her favor are worthwhile lessons.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2016, associated person Claimant Welborn sought the expungement from her Central Registration Depository records (“CRD”) of disclosures on her Uniform Termination Notice for Securities Industry… [read post]
26 Jun 2017, 3:40 am
Not what, Who.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arb... [read post]
25 Jun 2017, 7:40 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
25 Jun 2017, 7:40 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
23 Jun 2017, 3:23 pm
Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of Business, where he outlined several proposals to further what he called one of FINRA’s “most important purposes”—“to protect investors from bad actors. [read post]
23 Jun 2017, 2:29 pm
The Financial Industry Regulatory Authority (“FINRA”) fined and suspended Wells Fargo broker Eli Ungar (“Ungar”) for allegedly poaching client data from his former employer the Hong Kong and Shanghai Banking Corporation (“HSBC”). [read post]
22 Jun 2017, 3:54 pm
Gana LLP is investigating new customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Aaron Robert Parthemer (Parthemer). [read post]
22 Jun 2017, 2:55 pm
The Financial Industry Regulatory Authority is ordering Wells Fargo Securities (WFC) to pay a $3.25M fine for inaccuracies and mistakes in its reporting for over-the-counter trades that took place between January 2008 and March 2017. [read post]
22 Jun 2017, 2:48 pm
Whenever a brokerage firm terminates the employment of a broker or financial advisor, the firm must file a Form U5 – the Uniform Termination Notice for Securities Industry Registration – with the Financial Industry Regulatory Authority (FINRA) within thirty days of termination. [read post]
22 Jun 2017, 12:57 pm
Building upon federal group health plan mental health parity mandates originally implemented under the Mental Health Parity Act, the MHPAEA generally requires that any financial requirements or treatment limitations group health plans impose on mental health and substance use disorder (MH/SUD) benefits not be restrictive than the predominant financial requirements and treatment limitations that apply to substantially all medical and surgical benefits. [read post]
22 Jun 2017, 11:39 am
FINRA Fines Broker Dealer Ladenberg Thalman & Co. for Data Compliance Issues According to the Financial Industry Regulatory Authority, Ladenburg Thalmann & Co. [read post]
22 Jun 2017, 11:39 am
FINRA Fines Broker Dealer Ladenberg Thalman & Co. for Data Compliance Issues According to the Financial Industry Regulatory Authority, Ladenburg Thalmann & Co. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
