Search for: "Financial Industry Regulatory Authority"
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17 May 2017, 6:42 am
According to The Financial Industry Regulatory Authority’s (FINRA) brokercheck records Donnelly has been subject to two customer complaints, two regulatory events, and two terminations for cause. [read post]
17 May 2017, 6:41 am
Our securities fraud attorneys are investigating customer complaints and a recent regulatory action filed with The Financial Industry Regulatory Authority (FINRA) against Paul Alexander (Alexander) formerly associated with Raymond James & Associates, Inc. [read post]
16 May 2017, 9:30 pm
Agencies’ regulatory decisions can then be reviewed by the courts. [read post]
16 May 2017, 12:00 am
In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. [read post]
14 May 2017, 5:27 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) against broker Richard Cody (Cody) that involves potentially millions in either stolen client funds or misrepresentations concerning the state of their accounts. [read post]
13 May 2017, 12:30 pm
Last but not least, I advocate for controlling relocation strategies of legal and procreative industry at international level, whose clients are recruited at their respective markets. [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
12 May 2017, 6:20 pm
Stamer Cynthia Marcotte Stamer is a Martindale-Hubble “AV-Preeminent (Top 1%) rated practicing attorney and management consultant, health industry public policy advocate, widely published author and lecturer, recognized for her nearly 30 years’ of work on health industry and other privacy and data security and other health care, health benefit, health policy and regulatory affairs and other health industry legal and operational as a… [read post]
12 May 2017, 4:54 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
12 May 2017, 2:39 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
12 May 2017, 1:33 pm
Act Transitional Authority. [read post]
10 May 2017, 6:06 pm
These usually were meant to protect sensitive industries, but could also be used to protect national development schemes. [read post]
10 May 2017, 3:14 pm
Healthcare providers, health plans, healthcare clearinghouses and their business associates (Covered Entities) can’t disclose the name or other protected health care information about a patient in press releases or other announcements without prior authorization from the patient. [read post]
10 May 2017, 10:20 am
Stamer also is a highly popular lecturer, symposia chair and author, who publishes and speaks extensively on human resources, labor and employment, employee benefits, compensation, occupational safety and health, and other regulatory and operational risk management. [read post]
10 May 2017, 9:21 am
As we told you previously, the company’s founder, Tony Thompson, has been under investigation by the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
8 May 2017, 1:51 pm
The Office of Information and Regulatory Affairs (OIRA) would “have the same duties and authorities with respect to the [CLEA] as the [OIRA] has with respect to any other agency that is not an independent regulatory agency. [read post]
8 May 2017, 8:39 am
In an effort to help protect the elderly U.S. population the Financial Industry Regulatory Authority (FINRA) has announced that the Securities and Exchange Commission (SEC) has approved a new rule and an amendment that are specific to customers who are elders. [read post]
5 May 2017, 11:23 am
Although the industry regulator, the Financial Industry Regulatory Authority, Inc. [read post]
5 May 2017, 8:55 am
" The response is thundering silence.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Raymond James registered representative Claimant Overton asserted that Respond... [read post]
5 May 2017, 8:19 am
BOUNTY GAIN ENTERPRISES, INC – United States District Court – Southern District of Florida – April 14th, 2017) involves a Financial Industry Regulatory Authority (FINRA) dispute. [read post]
