Search for: "Financial Industry Regulatory Authority"
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6 Jun 2017, 2:41 pm
In the industry the term selling away refers to when a financial advisor solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm. [read post]
6 Jun 2017, 2:40 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Sullivan (Sullivan). [read post]
6 Jun 2017, 12:32 pm
Gana LLP is investigating a customer complaint filed with the Financial Industry Regulatory Authority (FINRA) again broker Joeann Mitchell Walker (Walker). [read post]
5 Jun 2017, 12:03 pm
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority... [read post]
4 Jun 2017, 7:51 pm
The problems of conforming to evolving norms becomes more difficult where states project their authority through commercial enterprises. [read post]
2 Jun 2017, 9:20 am
No single agency has regulatory authority over IoT, and some sector-specific authority may overlap. [read post]
1 Jun 2017, 8:28 am
Hopefully the good folks at FINRA will consider Bill's critique and respond to it in a constructive fashion.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 ... [read post]
1 Jun 2017, 5:26 am
Requests for such a waiver may be submitted to the Appraisal Subcommittee by a state appraiser licensing or certifying agency, a federal bank regulatory agency, a regulated financial institution or credit union, or other persons or institutions with a demonstrable interest in appraiser regulation. [read post]
31 May 2017, 10:28 am
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker James Paul Kolf (Kolf). [read post]
31 May 2017, 6:08 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]
31 May 2017, 6:07 am
According to the firm’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated that Russell was in “Violation of Firm policy regarding private securities transactions. [read post]
31 May 2017, 6:06 am
” Thereafter, Connell was barred by the Financial Industry Regulatory Authority (FINRA) for failing to provide documents and information related to Morgan Stanley’s statement. [read post]
30 May 2017, 6:55 am
Webb and Beversdorf signed employment contracts with Jeffries in which they agreed to arbitrate claims brought with respect to matters related to their employment or the agreement before the Financial Industry Regulatory Authority (FINRA). [read post]
29 May 2017, 9:30 pm
Instead, they have deployed the CRA as a means for advancing a distinctly partisan, often industry-driven, agenda. [read post]
29 May 2017, 9:50 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Schultz (Schultz). [read post]
29 May 2017, 9:25 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current Questar Capital Corporation (Questar) broker Stephen Swarbrick (Swarbrick). [read post]
29 May 2017, 9:24 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current FSC Securities Corporation (FSC Securities) broker Brian Presley (Presley). [read post]
28 May 2017, 9:30 pm
Some of the problems that plague the financial services industry in its current, human-based form are likely to persist in dealings with robo-advisors. [read post]
27 May 2017, 7:49 am
Dorion is currently not associated with any brokerage firm due to his bar by The Financial Industry Regulatory Authority’s (FINRA) in October 2016 for failing to response to the regulator’s request for information. [read post]
27 May 2017, 7:48 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Juan Alejos – a/k/a John Alejos (Alejos), formerly associated with brokerage firms Charles Morgan Securities, Inc. [read post]
