Search for: "Financial Industry Regulatory Authority"
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14 Jun 2017, 7:53 am
Broker David Sheppard (Sheppard) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action that led to a permanent bar against the broker. [read post]
14 Jun 2017, 7:52 am
According to the broker’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated that Mosley “was terminated for compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction. [read post]
14 Jun 2017, 7:52 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. [read post]
13 Jun 2017, 3:18 pm
The experienced securities fraud lawyers of Gana LLP are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Andrew Bruce Elsoffer (Elsoffer). [read post]
13 Jun 2017, 2:18 pm
Gana LLP’s investment fraud attorneys are looking into multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Rodger James Burskey (Burskey) that led to a regulatory action by FINRA. [read post]
ABA identifies various industry concerns in fair lending white paper submitted to Treasury Secretary
13 Jun 2017, 7:42 am
” CFPB Focus: The comment that the focus of the Bureau should remain on consumer credit culminates in the following specific recommendations: (i) repeal of Section 1071 of the Dodd-Frank Act relating to the collection and reporting of data concerning lending to “women-owned, minority-owned and small business”; (ii) reassigning the implementation of Section 1071 to the Small Business Administration as an interim measure; and (iii) eliminating “any vestige of Bureau… [read post]
12 Jun 2017, 8:58 pm
In interviews with Reuters, the Financial Industry Regulatory Authority admitted that even though investors are harmed when broker-dealers hire brokers with checkered histories, there is not much that the regulator can do to stop this practice because it is not illegal. [read post]
12 Jun 2017, 1:12 pm
All broker-dealers (think Merrill Lynch, Edward Jones, LPL, Wells Fargo, and any company that employs a stockbroker) must be registered with the Financial Industry Regulatory Authority (FINRA), the Self-Regulatory Organization that is vested with the regulation of brokers and the enforcement of rules governing the brokerage industry. [read post]
12 Jun 2017, 1:12 pm
All broker-dealers (think Merrill Lynch, Edward Jones, LPL, Wells Fargo, and any company that employs a stockbroker) must be registered with the Financial Industry Regulatory Authority (FINRA), the Self-Regulatory Organization that is vested with the regulation of brokers and the enforcement of rules governing the brokerage industry. [read post]
11 Jun 2017, 2:34 pm
-based campaign group ClientEarth, through pressure on the Financial Reporting Council, the U.K. corporate governance and reporting authority, has compelled oil and gas firms SOCO International and Cairn Energy to increase their climate reporting and update their climate-related disclosure practices. [read post]
11 Jun 2017, 5:13 am
Broker Andrew Kramer (Kramer) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action. [read post]
11 Jun 2017, 4:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA) Elliott working out of Overland Park, Kansas location from November 2011 through September 2016. [read post]
8 Jun 2017, 2:26 pm
Gana LLP’s investment fraud attorneys are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) again broker Todd Douglas Ryman (Ryman). [read post]
8 Jun 2017, 1:39 pm
After the couple put their flawed plan into action, FINRA responded with a fine and suspension.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FIN... [read post]
8 Jun 2017, 9:22 am
The Financial Industry Regulatory Authority (FINRA) is an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. [read post]
8 Jun 2017, 8:29 am
ESMA acknowledges that outsourcing can pose a number of challenges for financial firms and supervisors, particularly when the outsourcing of certain functions risks introducing unacceptable operational risks to the functioning of firms and to the national competent authority’s ability to effectively supervise financial services, especially when the service provider is located outside the EU. [read post]
7 Jun 2017, 2:35 pm
Panel Bars Jim Seol for Failing to Disclose $100 Million in EB-5 Investments According to The Financial Industry Regulatory Authority (FINRA), a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in private securities transactions, engaging in undisclosed outside business activities, and for making misrepresentations to his employer in compliance questionnaires. [read post]
7 Jun 2017, 1:26 pm
The FIA recognises that further enhancements between EU authorities and the UK supervisory authorities post-Brexit may be desirable. [read post]
7 Jun 2017, 1:26 pm
The FIA recognises that further enhancements between EU authorities and the UK supervisory authorities post-Brexit may be desirable. [read post]
7 Jun 2017, 6:56 am
It's a reshuffling of regulatory deck chairs. [read post]
