Search for: "Financial Industry Regulatory Authority"
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11 Nov 2013, 2:36 pm
According to a Financial Industry Regulatory Authority (FINRA) complaint, Hunsinger caused over 80 transfers, generally in $15,000 increments on a monthly basis. [read post]
28 May 2019, 1:42 pm
Four of these are regulatory/civil matters involving the Securities and Exchange Commission (SEC), the State of Montana, and the Financial Industry Regulatory Association (FINRA), barring him from any and all association with broker-dealers and acting as a broker or in any other capacity. [read post]
18 Mar 2016, 6:21 am
The Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), and the Federal Trade Commission (“FTC”), among others, have all been quite active in policing data security practices of financial institutions in recent years. [read post]
12 Mar 2021, 11:01 am
The broker dealer apparently has 36 regulatory events on its broker record, according to the Financial Industry Regulatory Authority (FINRA). [read post]
12 Mar 2021, 11:01 am
The broker dealer apparently has 36 regulatory events on its broker record, according to the Financial Industry Regulatory Authority (FINRA). [read post]
27 Jun 2019, 1:35 pm
In this blog post, we’ll look into the legal issues associated with financial inheritances from clients by financial advisers, potential solutions to the problem, and how a group of bipartisan lawmakers are taking action and calling to the Financial Industry Regulatory Authority (FINRA) for reform. [read post]
30 Sep 2021, 9:03 pm
FLASHBACK FRIDAY In an essay in The Regulatory Review, Michael Nonaka, partner at Covington & Burling LLP, argued that FinCEN is positioned to be “one of the most influential federal government agencies” for regulating innovation in the financial services industry due to its broad mandate over financial institutions. [read post]
29 Aug 2013, 6:00 am
Engaging citizens on the specific issue of online privacy, as well as the more general topics I mentioned above, would require the active participation of online service providers such as Google, Facebook, Microsoft; Internet service providers such as Rogers, Bell, Telus; employers; regulatory bodies; industry associations; and many more. [read post]
6 Aug 2012, 3:32 pm
But Form BD is a relatively minor step in the process of registering a broker-dealer, because broker-dealers are also required to become a member of the Financial Industry Regulatory Authority (“FINRA”). [read post]
19 Jun 2014, 1:30 pm
The initial rule provided only 30 days to comment, but this has been extended to July 14, 2014 [79 FR 30485] in response to requests from several financial services industry groups. [read post]
14 Sep 2022, 7:00 am
Shepherd, Smith, Edwards, and Kantas Has Been Fighting For Investors for Over 30 Years If you are an investor looking to pursue financial recovery for your investment losses caused by unsuitable investment recommendations, misrepresentations and omissions, unauthorized trading, or other grounds, there is a very good chance that you signed an agreement with your broker-dealer in which you both consented to resolve any disputes through the Financial Industry… [read post]
3 Apr 2010, 6:11 am
One year later, she faced similar claims, according to records with the Financial Industry Regulatory Authority (FINRA), and eventually paid a $15,000 fine. [read post]
6 Apr 2012, 6:27 am
State securities regulators, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are now looking into the volatility surrounding the VelocityShares, as well as the marketing efforts of firms that market it and other ETNs to investors. [read post]
27 Oct 2015, 12:57 pm
The seniors get educated about regulatory authorities like FINRA and SEC, and tools like BrokerCheck available to them. [read post]
13 Sep 2023, 2:06 pm
While the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the California Department of Corporations (DOC), and even prosecutors can investigate your allegations against a brokerage firm or investment adviser, if you want to maximize your chances for a full financial recovery, your best bet is to retain the services of a respected San Francisco securities law firm that knows how to fight for you. [read post]
15 Jul 2024, 8:05 pm
Previously registered with Insigneo Securities, JP Morgan Securities, Morgan Stanley, Galliot Capital Advisors, and other financial firms over the years, Souma was barred by the Financial Industry Regulatory Authority (FINRA) last year in the wake of stockbroker misconduct allegations, including claims of excessive trading. [read post]
25 Apr 2017, 5:00 am
Financial Industry Regulatory Authority, Inc., cert. denied April 24, 2017).Scottsdale Capital Advisors Corporation and three of its officers are the subjects of an ongoing disciplinary proceeding before FINRA. [read post]
30 Jul 2020, 9:21 am
Regulatory guidance clarifying that approach would be tremendously helpful to the financial services industry, especially to provide more concrete guidance about the content, location and timing of such disclosures. [read post]
21 Feb 2022, 9:03 pm
The ECA had earlier highlighted this issue in 2018, arguing then that the structure of regulatory authority leads to inconsistent enforcement of air passenger rights. [read post]
12 Apr 2018, 9:49 am
According to The Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Reef Securities $40,000 for failure to timely issue revised prospectus and notice of rescission, as well as advertising violations. [read post]
