Search for: "Financial Industry Regulatory Authority"
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5 Dec 2016, 9:44 am
According to reports, The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities LLC $16.5 million for anti-money laundering (AML), supervision and other violations. [read post]
5 Dec 2016, 6:26 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Guy Deemer (Deemer) currently registered with IFS Securities, alleging excessive trading or churning and unauthorized trading among other claims. [read post]
5 Dec 2016, 6:26 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Joshua Arnold (Arnold) currently registered with TradingBlock, alleging negligence, unsuitable recommendations, negligent supervision, breach of fiduciary duty, and breach of contract among other claims. [read post]
5 Dec 2016, 2:33 am
Whatever the explanation, it doesn't end particularly well.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, Larry Allen... [read post]
4 Dec 2016, 11:56 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Paul Neves (Neves) currently associated with Securities America, Inc. [read post]
3 Dec 2016, 11:30 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Troy Tremblay (Tremblay) currently registered with Centaurus Financial, Inc. [read post]
3 Dec 2016, 11:30 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor John Crook (Crook) currently registered with Prospera Financial Services, Inc. [read post]
2 Dec 2016, 11:11 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Victor Lambert (Lambert) currently not registered with any firm, alleging unsuitable investments among other claims. [read post]
2 Dec 2016, 8:45 am
On November 17, 2016, the Financial Industry Regulatory Authority, Inc. [read post]
1 Dec 2016, 12:47 pm
The DOL supports this position by citing the October 2013 “Report on Conflicts of Interest” of the Financial Industry Regulatory Authority, which describes various circumstances in which advisers may make inappropriate recommendations intended to promote the advisers’ compensation at the expense of the investors. [read post]
1 Dec 2016, 12:47 pm
The DOL supports this position by citing the October 2013 “Report on Conflicts of Interest” of the Financial Industry Regulatory Authority, which describes various circumstances in which advisers may make inappropriate recommendations intended to promote the advisers’ compensation at the expense of the investors. [read post]
1 Dec 2016, 10:26 am
Mishkin The CFPB’s Fall 2016 rulemaking agenda has been published as part of the Fall 2016 Unified Agenda of Federal Regulatory and Deregulatory Actions. [read post]
1 Dec 2016, 6:34 am
The Financial Industry Regulatory Authority said on November 30 it fined Merrill Lynch $7 million for inadequate supervision of client brokerage accounts that used leverage to buy Puerto Rican municipal bonds and other securities. [read post]
30 Nov 2016, 3:07 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. [read post]
30 Nov 2016, 3:02 pm
Our firm’s investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Zastrow (Zastrow) currently associated with Thrivent Investment Management Inc. [read post]
28 Nov 2016, 9:30 pm
The report’s authors also recommend repealing authority for financial holding companies to participate in merchant banking activities like buying a stake of ownership in a company instead of providing a traditional loan. [read post]
28 Nov 2016, 12:31 pm
In addition, many are predicting a boom for M&A in specific industries, such as pharmaceuticals. [read post]
28 Nov 2016, 11:18 am
Businesses that handle personal information are swept into many state data breach notifications laws, and voluntary standards like the Payment Card Industry Data Security Standards govern handling of payment card information. [read post]
28 Nov 2016, 8:10 am
A unanimous panel of the United States Court of Appeals for the Fourth Circuit has reportedly upheld a contested $900,000 Financial Industry Regulatory Authority (“FINRA”) arbitration award. [read post]
28 Nov 2016, 6:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
