Search for: "Financial Industry Regulatory Authority"
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17 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 broker Kim Isaacson (Isaacson). [read post]
17 Oct 2016, 2:06 am
Today's BrokeAndBroker.com Blog presents a Financial Industry Regulatory Authority settlement in which the respondent's conduct was wrong. [read post]
14 Oct 2016, 12:57 pm
Howell has been barred by the Financial Industry Regulatory Authority (“FINRA”)for providing a customer with false weekly account statements for over six years. [read post]
13 Oct 2016, 9:30 pm
Circuit ruled that the Consumer Financial Protection Bureau’s (CFPB) structure is unconstitutional. [read post]
13 Oct 2016, 11:45 am
The Financial Industry Regulatory Authority (FINRA) is on its way to posting a record year in terms of the amount of fines that it has assessed to member firms. [read post]
11 Oct 2016, 1:09 pm
Jay Jules Gruenebaum was investigated by the Financial Industry Regulatory Authority Inc. over two customer complaints on mishandling accounts and certain representations he made to them, as well as unauthorized payments, while registered with Stifel, Nicholaus and Company according to the AWC accepted by Finra’s department of enforcement yesterday. [read post]
11 Oct 2016, 5:57 am
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, Fortrend Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted... [read post]
7 Oct 2016, 2:40 pm
Trademarks are systems of regulatory governance--systematic efforts to regulate business conduct through exercise of non state authority--what is also known as governance in the societal sphere. [read post]
7 Oct 2016, 9:58 am
He was also barred from the securities industry by FINRA in 2015. [read post]
6 Oct 2016, 6:21 pm
Among other things, businesses must determine what information was exfiltrated; where are the affected individuals located; what notice must be given to regulatory and law enforcement authorities; what will cyber-insurance carriers require; how can the breach be remediated; and so on. [read post]
6 Oct 2016, 6:21 pm
Among other things, businesses must determine what information was exfiltrated; where are the affected individuals located; what notice must be given to regulatory and law enforcement authorities; what will cyber-insurance carriers require; how can the breach be remediated; and so on. [read post]
5 Oct 2016, 9:30 pm
Commodity Futures Trading Commission (CFTC), state regulators, the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB). [read post]
5 Oct 2016, 9:44 am
I have long criticized the Financial Industry Regulatory Authority ("FINRA") as being illegitimate because it disenfranchises hundreds of thousands of registered representatives from voting on its rule proposals or for its elective offices (said voting franchise having been arrogated solely to the organization's member firms). [read post]
4 Oct 2016, 4:49 pm
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Rabinder “Ravi” Deshmukh (Deshmukh). [read post]
4 Oct 2016, 4:49 pm
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Rabinder “Ravi” Deshmukh (Deshmukh). [read post]
4 Oct 2016, 7:36 am
On October 3, 2016, the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”)’s Office of Investor Education and Advocacy issued an Investor Alert announcing a new National Market System (NMS) Plan that will implement a Tick Size Pilot Program (the “Pilot”) that will widen the minimum quoting and trading increment – sometimes called the “tick… [read post]
3 Oct 2016, 8:02 am
The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors to be held on November 10 as a live webcast on the MSRB website. [read post]
3 Oct 2016, 5:43 am
In the end, we are still hunting for the beginning and wondering what the folks under scrutiny were thinking (or not).Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, associated person Claimant Murray, who represented himself pro se, asserted that:[R]espondents made defamatory statements against him after Res... [read post]
3 Oct 2016, 4:07 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitratio... [read post]
2 Oct 2016, 10:49 am
The exam procedures being released today by the Bureau provide guidance to industry on what the CFPB will be looking for during reviews covering the amended regulation. [read post]
