Search for: "Financial Industry Regulatory Authority"
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25 May 2017, 5:04 am
At the same time The Financial Industry Regulatory Authority’s (FINRA) opened its own investigation into Eng concerning Axiom’s disclosures for Eng’s termination. [read post]
24 May 2017, 9:18 am
The Financial Industry Regulatory Authority is contemplating on joining two of its enforcement programs to streamline its processes.At the moment, FINRA has two separate enforcement systems, one in its member regulation group, which focuses on their employees and member companies, and another in its market regulation group, which manages over-the-counter trading. [read post]
24 May 2017, 5:33 am
The report describes the findings of a stocktake of efforts underway by international bodies, national authorities, industry associations and firms on the use of governance frameworks to address misconduct risk, and include a literature review on the root causes of misconduct. [read post]
24 May 2017, 3:46 am
Kohn for 2017 FINRA Small Firm Governor" (BrokeAndBroker.com Blog, May 30, 2017), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") Small Firm community; called for the implementation of overdue self-regulatory reform; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulator; and… [read post]
23 May 2017, 11:07 am
The securities and investment lawyers of Gana LLP are investigating a customer complaint and an employment separation after allegations filed with the Financial Industry Regulatory Authority (FINRA) again broker Louis Frederick Scherschel (Scherschel). [read post]
23 May 2017, 2:10 am
Kohn for 2017 FINRA Small Firm Governor" (BrokeAndBroker.com Blog, May 30, 2017), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") Small Firm community; called for the implementation of overdue self-regulatory reform; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulator; and… [read post]
23 May 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). [read post]
22 May 2017, 1:40 pm
Regulatory authorities are using the WannaCry outbreak to highlight risks and encourage companies to implement reasonable cybersecurity measures. [read post]
22 May 2017, 1:40 pm
Regulatory authorities are using the WannaCry outbreak to highlight risks and encourage companies to implement reasonable cybersecurity measures. [read post]
22 May 2017, 8:29 am
., the publisher of the BrokeAndBroker.com Blog, submitted a comment in response to the March 21, 2017, Financial Industry Regulatory Authority (“FINRA”) "Special Notice: Engagement Initiative / FINRA Requests Comment on Potential Enhancement to Certain Engagement Programs / Comment Period Expires May 5, 2017. [read post]
19 May 2017, 9:08 am
Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. [read post]
19 May 2017, 8:52 am
The Financial Industry Regulatory Authority has barred Yocum from working as a financial broker or associating himself with companies that sell securities to members of the public. [read post]
19 May 2017, 8:43 am
Following action by the Financial Industry Regulatory Authority, Burns was accused of having engaged in a “pattern of unauthorized trading” in nine customer accounts and having made risky and unsuitable investments on behalf of a senior couple. [read post]
19 May 2017, 8:38 am
Hsu was suspended from September to December 2015 after the Financial Industry Regulatory Authority alleged that she failed to respond to an information request. [read post]
19 May 2017, 8:27 am
Bennett was suspended in August 2016 after she allegedly failed to respond to a request for information from the Financial Industry Regulatory Authority. [read post]
19 May 2017, 8:19 am
Mastroianni was barred from acting as a broker in December 2016, following a failure to appear before the Financial Industry Regulatory Authority (FINRA). [read post]
19 May 2017, 7:34 am
Both the FTC and CFPB have certain authority to take enforcement actions to address deceptive acts by nonbank providers of prepaid cards and other consumer financial services (the agencies manage their shared authority pursuant to a memorandum of understanding (MOU)). [read post]
18 May 2017, 9:16 pm
To assistant registrants, the SEC highlights its Division of Investment Management’s recent cybersecurity guidance, and the webpage of the Financial Industry Regulatory Authority (FINRA), which has links to cybersecurity-related resources. [read post]
17 May 2017, 11:54 am
Few BitLicenses have actually been granted to date, and those that have been granted were to major players in the industry such as Coinbase and Ripple. [read post]
17 May 2017, 6:42 am
Customers have filed complaints and The Financial Industry Regulatory Authority (FINRA) recently barred broker John Hudnall (Hudnall) – formerly with U.S. [read post]
