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18 Apr 2017, 9:29 am
Today's BrokeAndBroker.com Blog visits a FINRA work-site and we watch the regulators' bricklayers mix the mortar that seals the fate of one registered representative.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying... [read post]
17 Apr 2017, 2:44 pm
The Financial Industry Regulatory Authority, known as FINRA, is undergoing a review of internal operations and programs as part of a review process dubbed FINRA 360. [read post]
17 Apr 2017, 1:26 pm
This is particularly intriguing for the possibilities (and challenges) it may offer through regimes that are based on the privatization of law and the transfer of regulatory hard(er) authority (through contract) in lending institutions. [read post]
17 Apr 2017, 8:29 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly awarded an investor more than $1 million due to a securities broker’s misleading statements. [read post]
17 Apr 2017, 3:41 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, and as amended thereafter, public customer Claimant Beane as representative for Brantley LTD alleged churning, suitability, unauthorized trading, negligence, breach of fiduciary duty, breach of contract, misrepresentation, violation of the Florida Securities and Investor Protection Act, failure to supervise, violation of… [read post]
14 Apr 2017, 5:00 am
By John Filar AtwoodAs part of the initiative to review and modernize its operations and programs, the Financial Industry Regulatory Authority (FINRA) issued three notices seeking feedback on the capital formation process for broker-dealers. [read post]
13 Apr 2017, 11:05 am
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
13 Apr 2017, 10:27 am
Horowitz entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. [read post]
13 Apr 2017, 9:24 am
CFP Board’s Complaint alleged, among other things, that Eric Kuchel was the subject of a Default Decision from the Financial Industry Regulatory Authority, Inc. [read post]
13 Apr 2017, 6:32 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Christopher William Wingader submitted a Lett... [read post]
12 Apr 2017, 9:35 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]
11 Apr 2017, 3:01 pm
And yet the societal responsibilities of enterprises share with law the notion of authority and leadership,of accountability and of autonomy embedded within the strictures of the norms that frame responsibility. [read post]
11 Apr 2017, 4:30 am
(Monster.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
10 Apr 2017, 12:01 pm
The plan must address a number of aspects of incident response, including, for example, roles, responsibilities and decision-making authority and processes for documenting and reporting Cybersecurity Events. [read post]
10 Apr 2017, 8:43 am
The investment attorneys of Gana LLP are investigating customer complaints filed with Financial Industry Regulatory Authority (FINRA) against Christopher Paul Anthony (Anthony) for allegedly churning, failing to supervise, and recommending unsuitable investments in products, such as Foreign stocks and Indexed Exchanged-Traded Funds or ETFs. [read post]
9 Apr 2017, 5:35 pm
” The legislative initiative came about because, according to the fact sheet, “the financial crisis had shown that many shortcomings in corporate governance contributed to the financial crisis. [read post]
9 Apr 2017, 12:35 pm
FINRA Broker Disciplinary Action Report March 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]
6 Apr 2017, 10:40 am
Lloyd Dotson was permanently barred from the securities industry, according to the Financial Industry Regulatory Authority. [read post]
6 Apr 2017, 6:25 am
FINRA (Financial Industry Regulatory Authority) issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies. [read post]
6 Apr 2017, 6:16 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Todd J. [read post]
