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30 Jul 2021, 7:58 am
“FSOC must act quickly to use its statutory authority to address cryptocurrencies’ risks and regulate the market to ensure the safety and stability of consumers and our financial system,” the Massachusetts Democrat wrote in a letter to Yellen. [read post]
29 Jul 2021, 3:50 am
So one of the things that Casey references is a quote from Alex Hamilton, the author of the new book Sign Here. [read post]
27 Jul 2021, 7:17 am
Older Couple’s Broker Overconcentrated More Than $2.2M of Their Funds in Now Defunct Investment An older retired couple from South America is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates, Inc. after they suffered a seven-figure loss in Northstar Financial Services (Bermuda). [read post]
23 Jul 2021, 8:38 am
The digital currency might be a “measured path” to combat big tech monopolies, the authors argue. [read post]
21 Jul 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Enoch Booth from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
15 Jul 2021, 11:01 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
14 Jul 2021, 9:23 am
According to public records posted on FINRA’s site on July 1, the Financial Industry Regulatory Authority has reportedly censured and fined Sanctuary Securities $160,000 and ordered the firm to pay more than $360,000 in restitution to customers for alleged failure to properly supervise their reps’ solicited sales of non-traditional ETFs, among other misconduct. [read post]
13 Jul 2021, 10:58 am
Further, such use would be nonexclusive and authorized predominantly for the supply of the domestic market of the member authorizing such use, and subject to the rights holder being paid adequate remuneration in the circumstances of each case, taking into account the economic value of the authorization (again without further definition). [read post]
13 Jul 2021, 8:42 am
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on July 1, 2021, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Stuart L. [read post]
13 Jul 2021, 5:54 am
In December 2020, the SEC filed an action against Ripple Labs Inc. [read post]
9 Jul 2021, 10:11 am
PayPal Zettle Comes to U.S., Enabling in-Person and Omnichannel Digital PaymentsVending Market Watch – July 9, 2021 PayPal Holdings Inc. is bringing PayPal Zettle to the U.S. [read post]
9 Jul 2021, 9:58 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ronald Giovino from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
7 Jul 2021, 1:40 pm
Securian Financial Services, Inc. [read post]
7 Jul 2021, 12:13 pm
Relatedly, on July 2, 2021, FINRA suspended former Sanctuary Securities, Inc. financial advisor Stuart Pearl from the securities industry for three months. [read post]
7 Jul 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Gary Bowman from the securities industry for three months and fined him $10,000. [read post]
6 Jul 2021, 2:12 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor John Swon from the securities industry. [read post]
6 Jul 2021, 7:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Juan Ceja from the securities industry. [read post]
1 Jul 2021, 3:00 am
Welcome to Abbott & Kindermann, Inc. [read post]
1 Jul 2021, 3:00 am
Welcome to Abbott & Kindermann, Inc. [read post]
