Search for: "Financial Industry Regulatory Authority"
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19 Dec 2016, 7:56 am
The Financial Industry Regulatory Authority Inc. on Thursday hit Allstate Financial Services with $1 million dollar fine for a breakdown of the firm’s failure to supervise information. [read post]
19 Dec 2016, 7:44 am
Last week, the Financial Industry Regulatory Authority Inc. said it wanted to speak to any fired Wells Fargo reps about cross selling at the bank and its retail brokerage, apparently more fallout from the recent scandal. [read post]
19 Dec 2016, 6:30 am
In addition, because the SEC examines a far smaller percentage of investment advisers than broker-dealers, and there is no self-regulatory organization, like the Financial Industry Regulatory Authority, that also regulates investment advisers, enforcement plays a prominent role in sending a message to the investment management industry about the areas of concern to the Commission. [read post]
19 Dec 2016, 4:27 am
As I noted in a recent post (here), there is a growing list of federal regulatory agencies jockeying to join the regulatory data security bandwagon, and state authorities are not far behind. [read post]
19 Dec 2016, 3:07 am
Someone's not.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2015, former Zion’s Direct, Inc. employee Claimant Howard asserted breaches of contract and the implied covenant of good faith and fair dealing; wrongful termination; and the filing of a false Uniform Termination Notice for Securities ... [read post]
18 Dec 2016, 10:22 pm
The financial services industry might be fine with Trum [read post]
18 Dec 2016, 9:30 pm
All of which could recast—or even disrupt—legally-sanctioned bureaucratic authority. [read post]
14 Dec 2016, 7:00 am
Bush, leaving the agency in 2008, and is currently the CEO of a financial and regulatory consulting firm that he founded. [read post]
14 Dec 2016, 6:35 am
Unfortunately, FINRA seems a bit confused about who is and who isn't the customer.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 r... [read post]
13 Dec 2016, 8:38 am
Today, we’re taking a closer look at the United Kingdom’s cybersecurity legal and regulatory landscape, courtesy of Conor Ward. [read post]
9 Dec 2016, 7:25 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Cary Kievman (Kievman) alleging unsuitable investments and over concentrated positions among other claims. [read post]
8 Dec 2016, 1:45 pm
Puzder is a frequent author on economic and legal issues in periodicals such as Human Events, Politico, and the Orange County Register. [read post]
8 Dec 2016, 6:53 am
Then there's that whole issue about whether "disparate treatment" is the best way to describe sexual discrimination.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2015, and as amended thereafter, former Edward Jones & Co. employee Claimant asserted in connection with the c... [read post]
8 Dec 2016, 6:44 am
Dunno.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2013, Morgan Stanley Claimants asserted breach of promissory notes against:Respondent Randall Johnson: promissor... [read post]
8 Dec 2016, 4:09 am
Competing views aside, the industry's self-regulatory organization, the Financial Industry Regulatory Authority, has a specific rule addressing fair prices and commissions. [read post]
7 Dec 2016, 6:40 am
On March 23, 2016, the Securities and Exchange Commission (“SEC”) approved the adoption of FINRA Rule 2273, a rule first proposed by the Financial Industry Regulatory Authority (“FINRA”) on December 16, 2015. [read post]
7 Dec 2016, 6:40 am
On March 23, 2016, the Securities and Exchange Commission (“SEC”) approved the adoption of FINRA Rule 2273, a rule first proposed by the Financial Industry Regulatory Authority (“FINRA”) on December 16, 2015. [read post]
7 Dec 2016, 6:16 am
Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with Benjamin Securities, Inc. [read post]
6 Dec 2016, 7:37 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Wayde Walker (Walker) currently registered with National Securities Corporation (National Securities), alleging unsuitable investments, fraud, breach of fiduciary duty, churning, and unauthorized trading among other claims. [read post]
6 Dec 2016, 3:00 am
Chamber of Commerce (in part because it does not require whistleblowers to give notice to their employer at the same time they give it to authorities), the program has relatively broad bi-partisan support and has given rise to a cottage industry of law firms specializing in representing whistleblowers. [read post]
