Search for: "Financial Industry Regulatory Authority"
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3 Oct 2018, 2:40 pm
It’s over a private REIT that the Financial Industry Regulatory Authority arbitrators are ordering a Pennsylvania-based brokerage firm to pay one client over $1M in damages. [read post]
24 Nov 2015, 6:44 am
This article was originally posted on Stock Market Loss On November 17, 2015, The Financial Industry Regulatory Authority (“FINRA”) filed a disciplinary action against David Miller, formerly a stockbroker employed by the Huntington Investment Company. [read post]
2 Sep 2009, 5:20 pm
Yet, FINRA is neither the regulator of the entire financial industry, nor an "Authority. [read post]
17 Mar 2016, 11:08 am
In February 2015, the Financial Industry Regulatory Authority (“FINRA”) released a “Report on Cybersecurity Practices. [read post]
29 May 2019, 2:28 pm
CFPB intervention is warranted given the lack of clarity in the private student lending industry and is consistent with CFPB’s supervisory authority over nonbank financial institutions and its FCRA enforcement and rulemaking rehabilitation programs. [read post]
20 May 2016, 9:57 am
Brian Slagle On Wednesday May 18, 2016, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing entitled “Examining the CFPB’s Proposed Rulemaking on Arbitration: Is it in the Public Interest and for the Protection of Consumers? [read post]
15 Sep 2015, 6:25 am
Emdeon, one of the largest claims clearinghouses, is ready and so are most industry players it works with, said Mike Denison, Emdeon’s senior director of regulatory compliance. [read post]
1 Dec 2017, 11:54 am
In particular, he pointed to the Financial Conduct Authority’s (FCA) "Project Innovate," which was established in 2014, and the Bank of England’s "FinTech Accelerator" launched last year. [read post]
20 Aug 2010, 1:02 pm
The Financial Industry Regulatory Authority (FINRA) barred Breard from the securities industry in March. [read post]
30 Jun 2016, 1:53 pm
Investment Services, LLC from an office in Penang, Malaysia, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
19 Apr 2024, 2:04 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
11 Mar 2010, 6:46 am
Capital requirements used by U.S. regulatory authorities should be harmonized with capital requirements arising from international agreements. [read post]
6 Apr 2016, 4:17 pm
Is the IRS authorized to do this? [read post]
18 Nov 2010, 3:14 am
To illustrate why, I cut and paste the abstract from Ed Kane’s (Professor at Boston College) paper “Unmet Duties in Managing Financial Safety Nets” He writes: “Authorities and financiers violated common-law duties of loyalty, competence, and care they owe taxpayers indicates a massive incentive breakdown in industry and government. [read post]
1 Aug 2023, 6:44 pm
He worked in the industry for 19 years but was suspended by the Financial Industry Regulatory Authority (FINRA) for 18 months in December 2021 for allegedly selling away what is believed to be about $1.5M of membership units in this Fund to customers. [read post]
24 May 2012, 4:38 am
As we said yesterday, the Consumer Financial Protection Bureau is deciding how to regulate the growing prepaid card industry. [read post]
1 Oct 2015, 6:21 am
According to BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker McGriskin entered the securities industry in 2002. [read post]
9 Jul 2012, 10:06 pm
In the wake of Barclays’ record fines, the regulatory investigation continues, and authorities reportedly have also launched criminal investigations. [read post]
4 Dec 2019, 7:08 am
This includes one claimant who was recently awarded over $150,000 in compensation plus interest, other costs, and fees in her Financial Industry Regulatory Authority (FINRA) arbitration case against the firm. [read post]
7 Feb 2024, 8:47 pm
Barred by the Financial Industry Regulatory Authority (FINRA) in early 2023 after refusing to provide information and documents in an ongoing investigation, Souma most recently was an Insigneo Securities broker in Beverly Hills, CA. [read post]
