Search for: "Financial Industry Regulatory Authority"
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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]
28 Nov 2016, 2:51 am
It's much the same for Wall Street's stockbrokers, as demonstrated in a recent Financial Industry Regulatory Authority settlement where a broker had endeavored out onto the stormy day-trading seas and beached his career on a regulatory bar. [read post]
27 Nov 2016, 4:47 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Matthew Fleissner (Fleissner) currently associated with National Securities Corporation (National Securities) alleging unauthorized trading and excessive fees and commissions among other claims. [read post]
26 Nov 2016, 10:06 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Kenneth Saunders (Saunders) currently associated with National Planning Corporation (NPC) alleging unsuitable investments among other claims. [read post]
26 Nov 2016, 6:05 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David White (White) currently associated with Centaurus Financial, Inc. [read post]
24 Nov 2016, 6:33 am
Ontario’s Fall 2016 Economic Statement announced that government’s intention to introduce a new financial services regulator which will be known by the acronym FSRA (Financial Services Regulatory Authority). [read post]
23 Nov 2016, 1:26 pm
Our firm’s investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Alan Thomilson (Thomilson) currently associated with Lincoln Financial Securities Corporation (Lincoln Financial) alleging unsuitable recommendations to invest in variable products such as variable annuities, equity indexed annuities, and variable life insurance. [read post]
23 Nov 2016, 1:26 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
23 Nov 2016, 6:46 am
In October 2015, the Financial Services Industry Regulatory Authority, Inc. [read post]
23 Nov 2016, 12:32 am
It's much the same for Wall Street's stockbrokers, as demonstrated in a recent Financial Industry Regulatory Authority settlement where a broker had endeavored out onto the stormy day-trading seas and beached his career on a regulatory bar. [read post]
22 Nov 2016, 7:06 am
Hedge funds are important participants in the financial markets, the working group noted, but no single regulator has the authority or the information to identify the risks that their use of leverage could pose. [read post]
Arkansas Sanctions Financial Advisors Raymond Adcock and Charles Ferrill Over Talon Securities Sales
22 Nov 2016, 6:49 am
Both brokers were registered with The Financial Industry Regulatory Authority (FINRA) at the time. [read post]
22 Nov 2016, 6:49 am
Investment attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David Lerner (Lerner) currently associated with Network 1 Financial Securities Inc. [read post]
21 Nov 2016, 9:30 pm
Given that Britain’s financial services industry is currently regulated by EU law, Ferran emphasizes that it should not be difficult to pass an equivalence test in the immediate aftermath of a hard Brexit. [read post]
21 Nov 2016, 11:33 am
This investor alert is provided by the Financial Industry Regulatory Authority. [read post]
21 Nov 2016, 7:38 am
Blockchains have the potential to change the operational and financial models of many industries, because of their ability to save costs and streamline operational processes. [read post]
21 Nov 2016, 4:51 am
Investment attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Thurnherr (Thurnherr) alleging unsuitable investments, fraud, churning, breach of fiduciary duty, and unauthorized trading among other claims. [read post]
20 Nov 2016, 2:16 am
After reading a recent Financial Industry Regulatory Authority settlement, I find myself unable to reconcile the regulator's allegations against a respondent registered representative with the regulator's fairly modest fine and relatively light suspension. [read post]
18 Nov 2016, 11:04 am
Investment attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against John Cangialosi (Cangialosi) alleging unsuitable investments, fraudulent and negligent acts, breach of contractual requirements, churning, and negligent misrepresentation among other claims. [read post]
18 Nov 2016, 11:03 am
Attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Christian Herrera (Herrera) alleging unsuitable investments and unauthorized trading among other claims. [read post]
