Search for: "Financial Industry Regulatory Authority"
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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]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
30 Sep 2016, 12:41 pm
Jerome Krause, a broker with First Heartland Capital Inc. must pay $600,000 in damages to an elderly couple after allegedly stealing money from them, according to the Financial Industry Regulatory Authority Inc. [read post]
30 Sep 2016, 6:11 am
In the words of the Financial Industry Regulatory Authority (“FINRA”), “Just as firms have a primary responsibility to supervise their associated persons and ensure that they are not involved in fraudulent schemes, firms must also be vigilant regarding their customers. [read post]
30 Sep 2016, 5:00 am
September 2016 FINRA Arbitration Decision In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, public customer Claimants Joyce and Keith Reuter alleged: unauthorized borrowing, unauthorized trading, civil theft by fraud under Wis. [read post]
29 Sep 2016, 9:30 pm
The proposal has faced opposition from the cable industry, and leading up to Thursday, when the proposal was expected to come to a vote, Commissioner Jessica Rosenworcel reportedly expressed concerns over whether the FCC had the authority to implement part of the plan and possible copyright violations. [read post]
29 Sep 2016, 12:59 pm
Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
28 Sep 2016, 9:41 am
The threats of private and structural power were not just substantive; they represented a usurpation of the proper role of citizens and communities as the agents and authors of a (nominally) democratic polity. [read post]
