Search for: "Financial Industry Regulatory Authority"
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8 Jul 2016, 2:28 am
Muh is running as a candidate for the 2016 Financial Industry Regulatory Authority ("FINRA") Small Firm Governor seat on the self-regulatory organization's Board. [read post]
7 Jul 2016, 5:03 pm
In a related criminal action, Marsh pled guilty to one count of exceeding his authorized access to a computer to obtain a financial record of a financial institution, in violation of 18 U.S.C. [read post]
7 Jul 2016, 6:00 am
I recently posted "Support ROBERT MUH For FINRA Small Firm Governor" (BrokeAndBroker.com Blog, July 5, 2016), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") small firm community; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulatory authority; and expressed my… [read post]
6 Jul 2016, 11:23 am
Sheridan has been employed and registered with Race Rock Capital, LLC, a broker-dealer, working out of the Boston, Massachusetts office, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
6 Jul 2016, 9:49 am
FINRA Broker Disciplinary Action Report May 2016Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
6 Jul 2016, 4:28 am
Muh is running as a candidate for the 2016 Financial Industry Regulatory Authority ("FINRA") Small Firm Governor seat on the self-regulatory organization's Board. [read post]
6 Jul 2016, 12:00 am
O’Connor answered a number of questions from Judge Crummey relating to the arbitration of securities disputes before the FINRA (Financial Industry Regulatory Authority) Office of Dispute Resolution. [read post]
5 Jul 2016, 9:30 pm
Regulations are supposed to ensure that our drinking water is potable, our workplaces are safe, and our financial transactions are secure. [read post]
5 Jul 2016, 5:58 am
I recently posted "Support ROBERT MUH For FINRA Small Firm Governor" (BrokeAndBroker.com Blog, July 5, 2016), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") small firm community; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulatory authority; and expressed my… [read post]
5 Jul 2016, 2:39 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, Claimant Aeet.us Inc.Claimant sought $10 million in compensatory damages and asserted the following causes of action: collection error, account errors and changes, failure to supervise, margin calls, negligence, incorrect transfer, failure to execute, defamation... [read post]
4 Jul 2016, 10:35 am
Data security obligations arise from a range of sources, including particularly industry-specific federal regulations and state laws. [read post]
3 Jul 2016, 4:00 am
Furthermore, the Respondent’s principal had a history including significant regulatory sanction for misconduct in the securities industry, and dissipating shareholder value in other enterprises. [read post]
1 Jul 2016, 1:49 pm
The fines assessed against Sunfield are one of the largest OSHA penalties ever filed against a company in the automotive parts industry. [read post]
1 Jul 2016, 12:25 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
1 Jul 2016, 12:23 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]
30 Jun 2016, 1:53 pm
Investment Services, LLC from an office in Penang, Malaysia, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jun 2016, 9:29 am
In a related criminal action, Marsh pled guilty to one count of exceeding his authorized access to a computer to obtain a financial record of a financial institution, in violation of 18 U.S.C. [read post]
29 Jun 2016, 4:09 pm
On the face of it, democracy is the ultimate self-regulatory system. [read post]
29 Jun 2016, 2:02 pm
Gioffre was employed and registered from July 2014 to August 2015 with Constellation Wealth Advisors LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jun 2016, 1:53 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
