Search for: "Financial Industry Regulatory Authority"
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31 Oct 2016, 7:47 am
The investment fraud lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) involving former FSC Securities Corporation (FSC) broker Leonard Fox (Fox) out of the firm’s Marlton, New Jersey office. [read post]
31 Oct 2016, 7:46 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by LPL Financial LLC (LPL) involving broker Kevin Kuhlow (Kuhlow) out of the firm’s Los Gatos, California office. [read post]
27 Oct 2016, 1:04 pm
As reported recently, the Financial Industry Regulatory Authority has commenced an investigation into the cross-selling activities of several broker dealers in the wake of the Wells Fargo fallout. [read post]
27 Oct 2016, 12:55 pm
However, a court challenge to the new rules seems likely given their potential impact on the business of the Internet and ISP operations, under the theory that the FCC has exceeded its regulatory authority. [read post]
27 Oct 2016, 12:22 pm
Berger was allegedly barred from the securities industry in 2015 by the Financial Industry Regulatory Authority due to allegations that he misappropriated funds from elderly customers while registered with member firms. [read post]
27 Oct 2016, 8:48 am
Health plans, their sponsors, fiduciaries and vendors, health care providers and health care clearinghouses should carefully heed this message and in response take documented steps to ensure Their existing policies, practices and procedures properly are updated in response to changing guidance and events; They in place the current, comprehensive enterprise risk assessment along with a mitigation plan documenting actions taken to address these risks; Ensure that the organization has… [read post]
26 Oct 2016, 10:11 am
In two recent Financial Industry Regulatory Authority disciplinary settlements, the regulator addressed hedge fund sales by a registered representative and his firm's apparent failure to do much in the way of overseeing that activity. [read post]
24 Oct 2016, 9:30 pm
In response to growing public concerns about high-frequency trading, BaFin—the German Federal Financial Supervisory Authority—began implementing the HFT Act in 2013. [read post]
24 Oct 2016, 10:54 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Rotunno (Rotunno). [read post]
24 Oct 2016, 4:43 am
In the end, perhaps these failures are not the fault of the arbitrators as much as FINRA's culture of benign neglect, which fails to ensure quality control.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Stat... [read post]
21 Oct 2016, 7:40 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against William Byrd (Byrd) alleging unsuitable investments, negligence, and breach of fiduciary duty among other claims. [read post]
21 Oct 2016, 7:35 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Jamie Aguilar (Aguilar) out of the firm’s San Diego, California office. [read post]
21 Oct 2016, 5:17 am
In a recent regulatory settlement by the Financial Industry Regulatory Authority, we see how one member firm failed to grapple with notices of garnishment against some of its employees. [read post]
20 Oct 2016, 9:30 pm
Beginning in July 2017, the plan, which was proposed by the Financial Industry Regulatory Authority (FINRA) this past July, will require nearly 4,000 banks and brokers to report Treasury transactions through FINRA’s Trade Reporting and Compliance Engine. [read post]
20 Oct 2016, 9:49 am
According to metrics provided by the Financial Industry Regulatory Authority (“FINRA”), $62.1 million of investor awards issued in 2013 went unpaid, due to brokerage houses’ insolvency. [read post]
19 Oct 2016, 1:04 pm
Stamer works with businesses and their management, employee benefit plans, governments and other organizations deal with all aspects of human resources and workforce, internal controls and regulatory compliance, change management and other performance and operations management and compliance. [read post]
19 Oct 2016, 7:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Caeron McClintock (McClintock). [read post]
19 Oct 2016, 7:26 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Obryant (Obryant) alleging unsuitable investments, negligence, breach of fiduciary duty, and unauthorized trading. [read post]
18 Oct 2016, 2:11 pm
Swenson was last employed and registered with PNC Investments, from the broker-dealer’s Fort Pierce, Florida office, from November 2014 to October 2016, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Oct 2016, 6:50 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Royal Alliance Associates, Inc. [read post]
