Search for: "Financial Industry Regulatory Authority"
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3 Feb 2017, 6:30 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Christopher Bond (Bond) currently associated with National Securities Corporation alleging Bond engaged in a number of securities law violations including that the broker made unsuitable investments and unauthorized trading among other claims. [read post]
2 Feb 2017, 6:04 pm
., badge access was required, and a security camera was present at one of the entrances), it also provided access to the area to staff who were not authorized to access ePHI. [read post]
2 Feb 2017, 12:38 pm
In Russia, the FSB is the regulatory agency responsible for authorizing the importation of IT products that incorporate encryption technology. [read post]
2 Feb 2017, 9:04 am
Then there's that bit of hypocrisy on the part of FINRA that renders the settlement as more than a bit . . . hmmm . . . what's the word that I'm looking for . . . oh, yeah . . . hypocritical.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… [read post]
2 Feb 2017, 8:46 am
Krispeal has been employed and registered with PHX Financial, Inc., a Hauppauge, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
31 Jan 2017, 2:24 pm
The DFS Rule has been met with resistance from various sectors of the financial industry, whose lobbying arms argue that the rule creates conflicts with existing national cybersecurity regulations and best practices. [read post]
31 Jan 2017, 1:06 pm
As financial services innovators and financial technology (“FinTech”) have expanded over the last several years, a point of industry consensus is that the U.S. regulatory landscape in particular is challenging to, and in some cases poses a barrier to, innovation and new competition within the FinTech arena. [read post]
31 Jan 2017, 8:28 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Mark Gassoso (Gassoso) currently associated with National Securities Corporation alleging Gassoso engaged in a number of securities law violations including that the broker made unsuitable investments, unauthorized trading, and churning (excessive trading) among other claims. [read post]
31 Jan 2017, 8:22 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Barry Rumpel (Rumpel) currently associated with IFS Securities alleging unsuitable investments among other claims. [read post]
30 Jan 2017, 6:32 pm
She has published articles on financial integration, debt contracts, and development and has co-authored a textbook on International Finance. [read post]
30 Jan 2017, 6:17 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Samuel Koltun (Koltun) currently associated with RBC Capital Markets, LLC (RBC) alleging unsuitable investments in Puerto Rico municipal bonds among other claims. [read post]
30 Jan 2017, 6:16 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Joseph Likens (Likens). [read post]
30 Jan 2017, 6:00 am
Public sector infrastructure, the way we read it, would cover public infrastructure like the Tennessee Valley Authority. [read post]
30 Jan 2017, 5:46 am
As readers may recall, an Amended Complaint was recently filed in the defamation lawsuit brought by Plaintiff Brummer, who is a law professor at Georgetown University Law Center and served on the Financial Industry Regulatory Authority's National Adjudicatory Council ("NAC") from 2013 to 2015. [read post]
29 Jan 2017, 12:40 pm
FINRA Broker Disciplinary Action Report January 2016Each 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]
29 Jan 2017, 10:53 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Glime (Glime) formerly associated with Capital Investment Group, Inc. [read post]
28 Jan 2017, 6:35 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Brian Sak (Sak). [read post]
27 Jan 2017, 12:53 pm
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Sorensen (Sorensen) currently associated with Allegis Investment Services, LLC (Allegis Investment), d/b/a Soresnsen Financial, Inc., alleging unsuitable investments, unauthorized trading, and misrepresentations among other claims. [read post]
27 Jan 2017, 12:52 pm
According to records kept by The Financial Industry Regulatory Authority’s (FINRA) customers have filed complaints against broker Mark Miranda (Miranda). [read post]
27 Jan 2017, 10:59 am
In a regulatory action brought by the Financial Industry Regulatory Authority (FINRA), Ms. [read post]
