Search for: "Financial Industry Regulatory Authority"
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2 Aug 2021, 7:41 am
Also, from 2018 to 2020, Todaro was a registered representative with Worden Capital Management, which last year was subject of a Financial Industry Regulatory Authority (FINRA) action related to the churning activities of its brokers. [read post]
25 Mar 2024, 9:25 am
The ex-Coastal Equities financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) last year after investors accused him of allegedly unsuitably recommending over $2.3M in illiquid alternative investments, overconcentrating their accounts with them, and making misrepresentations about the risks. [read post]
27 Jul 2010, 7:12 am
But a panel of the Financial Industry Regulatory Authority ruled that the claims by the company and two subsidiaries were "frivolous, unreasonable, groundless, and made in bad faith," according to the award document.The panel awarded a total of $2 million to the two advisors, who had filed their own claim accusing the company, based in San Juan Capistrano, Calif., of defamation, theft of clients, disclosure of confidential information and other offenses.… [read post]
12 Mar 2021, 11:25 am
Morgan Securities brokers have asked a court to nullify a high profile $19 million award issued last month by a Financial Industry Regulatory Authority arbitration panel. [read post]
5 Feb 2023, 8:41 pm
For most investors, this means filing a securities fraud lawsuit against their brokerage firm and possibly even their stockbroker, in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
25 Oct 2022, 10:18 am
This diversification should align as well with the investor’s investment objectives and financial circumstances.The Financial Industry Regulatory Authority (FINRA) Rule 2111 establishes brokers’ and investment advisors’ responsibility to handle their customers fairly by honoring the tenets of reasonable-basis suitability, customer-specific suitability, and quantitative suitability. [read post]
4 Oct 2021, 8:12 am
This blog was co-authored by Uzair Bulbulia, candidate attorney On 1 October 2021, the Ministry of Trade, Industry and Competition published the Companies Amendment Bill, 2021 (2021 Bill) for public comment. [read post]
12 Feb 2020, 7:05 am
Not only unifying the necessary regulatory functions, but also establishing a central contact point for cannabis licensees and local governments. [read post]
25 Nov 2014, 6:41 am
The report highlighted regulatory violations − or unfair, abusive, or deceptive trade acts or practices (UDAAPs) − in the consumer reporting, debt collection, deposits, mortgage servicing, and student loan servicing industries. [read post]
23 Aug 2021, 12:14 pm
David Volpe Discharged From Firms For Improper Private Transactions & Borrowing From Customers According to Volpe’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), Volpe has been discharged from two different brokerage firms: In December 2018, Volpe was discharged from LPL for an alleged “violation of the Firm’s private securities transactions policy for involvement in capital-raising efforts without… [read post]
12 Apr 2018, 10:08 am
FINRA Generally Prohibits Brokers from Borrowing Money from Clients The Financial Industry Regulatory Authority (FINRA), the organization charged with overseeing the conduct of stockbrokers, generally prohibits brokers from borrowing money from their customers. [read post]
23 Oct 2023, 11:00 pm
Check out our Practical Guidance Author Center ! [read post]
25 Oct 2023, 12:29 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
11 Feb 2020, 7:16 pm
APRA publishes submission on Fintech and Regtech APRA published on 21 January 2020 its submission responding to the Senate Select Committee on Financial Technology and Regulatory Technology’s Issues Paper. [read post]
29 Dec 2020, 9:50 am
By Amy Leisinger, J.D.In response to the challenges posed by the COVID-19 pandemic, the Financial Industry Regulatory Authority has requested comment on how firms and investors have fared regarding FINRA requirements and the unprecedented changes to business operations while maintaining access to capital markets. [read post]
16 Jul 2024, 8:00 am
Bank Regulatory Counsel Resource Kit and Financial Services Regulations Fundamentals Resource Kit provide links to practice notes, checklists, articles, and guidance on key issues, laws, and regulations applicable to financial institutions. [read post]
12 Mar 2024, 7:42 am
On 11 March 2024, the Financial Conduct Authority (FCA) published a statement updating its position on cryptoasset-backed Exchange Traded Notes (cETNs) for professional investors. [read post]
6 Nov 2018, 5:58 pm
[DFS Superintendent Maria] Vullo and DFS clearly have regulatory authority over the targeted entities. [read post]
10 Jul 2020, 1:05 pm
He had been in the industry since 2001. [read post]
15 Nov 2011, 5:59 pm
An option would be to include the more detailed definitions and calculations in further guidelines to be developed by ESMA.Finally, the Director noted that the new Financial Conduct Authority will be the primary regulator of the UK hedge fund industry under the new regime replacing the FSA. [read post]
