Search for: "Financial Industry Regulatory Authority"
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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]
4 May 2017, 11:28 pm
The Financial Industry Regulatory Authority (FINRA) has announced that the SEC has approved a new rule that is specific to customers who are elders. [read post]
2 May 2017, 11:23 pm
This type of investment is offered through Financial Industry Regulatory Authority broker-dealers. [read post]
2 May 2017, 9:48 am
FINRA Broker Disciplinary Action Report: April 2017Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
2 May 2017, 5:20 am
Ultimately, it is a battle between the competing desires for customer service and the need to mitigate damages.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2016, public customer Claimant Bell asserted breaches of contract and fiduciary duty, and negligence in connec... [read post]
2 May 2017, 5:12 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting o... [read post]
1 May 2017, 3:41 am
In a recent Financial Industry Regulatory Authority arbitration, we find a public customer suing JP Morgan over losses sustained in her massive position of VirnetX, a company purportedly founded by her uncle. [read post]
28 Apr 2017, 2:06 pm
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Malcolm Segal (Segal). [read post]
28 Apr 2017, 9:48 am
FINRA Bars Former Ohio Broker Ronald Broadstone from Securities Industry According to the Financial Industry Regulatory Authority, Ronald Broadstone has been permanently barred from the securities industry. [read post]
28 Apr 2017, 8:37 am
Using data from the Financial Industry Regulatory Authority, a team of technologists affiliated with the left-wing magazine New Inquiry created the open-source tool so that anyone can put a face on the labyrinthian world of white collar crime hidden in their own home town. [read post]
27 Apr 2017, 10:13 am
While the CFTC has been the most active regulatory authority to address investments in cryptocurrencies, managers should be cognizant that states (including New York), the SEC, FINRA and FinCEN are also deliberating the question of appropriate regulatory oversight. [read post]
27 Apr 2017, 6:08 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2015, and as amended thereafter, Claimant Wells Fargo Advisors LLC. alleged breach of contract, conversion, tortious interference with business relations, misappropriation of trade secrets, copyright infringement and contributo... [read post]
27 Apr 2017, 6:02 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, Claimant asserted breaches of contract and fiduciary duty, negligence, fraud, unsuitability, and failure to supervise. [read post]
27 Apr 2017, 5:00 am
New York Department of Financial Services Cybersecurity Regulations: August deadline looms The New York Department of Financial Services is imposing detailed cybersecurity regulations on health insurers, banks and other institutions operating under a license or authorization of New York state law. [read post]
26 Apr 2017, 6:14 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Health Care,” “Labor & Employment,” “Tax: Erisa & Employee Benefits” and… [read post]
26 Apr 2017, 4:08 pm
In one such case, a penny stock brokerage firm and two of its employees challenged a Securities and Exchange Commission (“SEC”) administrative order finding that they had violated Financial Industry Regulatory Authority (“FINRA”) rules by failing to undertake measures to guard against unlawful trading of unregistered securities. [read post]
26 Apr 2017, 4:06 pm
Perhaps the more important question at this point is whether the D-CASB, and any regulatory changes it may spawn, are even necessary. [read post]
25 Apr 2017, 8:17 pm
The two Presidential Memoranda pertain to the 2010 Dodd-Frank regulatory reform legislation. [read post]
25 Apr 2017, 3:21 pm
Beyond mitigating a plan sponsor’s Form 8928 reporting and associated excise tax exposures, an independent compliance audit also can mitigate other risks and exposures for the sponsoring employer, the plan and its fiduciaries, the cost of which the sponsoring employer often bears financial responsibility for funding pursuant to the contractual indemnification and funding obligations entered into in connection with the establishment and maintenance of the plan, the fiduciary… [read post]
25 Apr 2017, 2:16 pm
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker David James Mura (Mura). [read post]
