Search for: "Financial Industry Regulatory Authority"
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18 Nov 2016, 9:12 am
The firm was reportedly late making 365 filings with the Financial Industry Regulatory Authority Inc. regarding disciplinary actions it took against its own brokers and arbitration and litigation settlements over an eight year period, from 2008 to 2016. [read post]
18 Nov 2016, 7:39 am
The Financial Industry Regulatory Authority's ("FINRA's") Acceptance, Waiver, and Consent ("AWC") appears to be the most common outcome for that self-regulatory organization's ("SRO's") investigations; however, the mechanics and consequences of the AWC settlement are rarely understood by many registered representatives acting as their own counsel, and often not properly explained by lawyers to their… [read post]
18 Nov 2016, 3:03 am
In September 2013, as a consequence of regulatory proceedings the Financial Conduct Authority (FCA) gave a Final Notice to JPMorgan Chase Bank, N.A. [read post]
17 Nov 2016, 9:30 pm
Lubben posed a series of questions about what the Trump Administration could mean for financial regulation. [read post]
17 Nov 2016, 9:12 am
In addition, network operators are obliged to provide technical support and assistance to public security authorities and national security authorities for security and crime investigation. [read post]
16 Nov 2016, 9:30 pm
In order to help prevent such dramatic, unexpected Treasury market movement in the future, the Financial Industry Regulatory Authority (FINRA)—a government-sponsored private regulatory authority, responsible for regulating brokerages and stock exchanges and maintaining market fairness—recently adopted a proposed rule that will mandate new reporting requirements for transactions in Treasury securities. [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
16 Nov 2016, 8:01 am
The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
16 Nov 2016, 8:01 am
The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
16 Nov 2016, 8:01 am
The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
15 Nov 2016, 3:33 pm
The Financial Industry Regulatory Authority (FINRA) announced that it has fined eight brokerage a total of $6.2 million for failing to supervise sales of variable annuities (VAs). [read post]
15 Nov 2016, 3:32 pm
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Barranco (Barranco). [read post]
15 Nov 2016, 6:57 am
Further, the more than $1 billion in public support does not include the hundreds of millions that goes toward supporting the public broadcaster, the music industry, publishing industry, and video game industry. [read post]
14 Nov 2016, 7:57 am
Alas, 2016 hasn't been the best of years for a beleaguered Wells Fargo; and judging by this FINRA Arbitration, the beleaguering isn't done.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2014, Claimant Wells Fargo Advisors asserted that former employee Respondent Powers had failed to pay money owed on both a July 6, 2007, Promissory Note and an October 21, 2008, ... [read post]
14 Nov 2016, 2:12 am
This past summer, the Working Group on the issue of human rights and transnational corporations and other business enterprises delivered its 2016 Report to the U.N. [read post]
14 Nov 2016, 1:29 am
Enjoy today's epic litigation battle replete with lots and lots of music videos.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2014 and as amended, Claimant Jaffe asserted breach of contract and fraudulent inducement in connection with Joint Production Agreements and a Partnership Agreement signed  ... [read post]
12 Nov 2016, 10:32 am
Records kept by The Financial Industry Regulatory Authority’s (FINRA) concerning broker Joel Burstein Jr. [read post]
9 Nov 2016, 2:08 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Mark Wesley (Wesley) alleging unsuitable investments, negligence, and breach of fiduciary duty among other claims. [read post]
