Search for: "Financial Industry Regulatory Authority"
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29 Jun 2016, 11:29 am
The Financial Industry Regulatory Authority Inc. recently filed a complaint against a former broker for telling his clients to invest in risky exchanged-traded funds as a hedge against impending financial and economic doom. [read post]
The Canadian Copyright Board: To Be or Not To Be –That Is A Question – ALAI Conference, May 25, 2016
28 Jun 2016, 2:37 pm
., who is a frequent music industry expert witness at the Board. [read post]
28 Jun 2016, 2:05 pm
Morgan Stanley broker Armando Fernandez has been suspended by the Financial Industry Regulatory Authority (FINRA) for 20 business days, according to publicly available FINRA records. [read post]
28 Jun 2016, 1:37 pm
., a Garden City, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
28 Jun 2016, 10:08 am
The Financial Industry Regulatory Authority's ("FINRA's") Board of Governors presently consists of 24 members: Chief Executive Officer of FINRA; 13 Public Governors; 1 Floor Member Governor; 1 Independent Dealer/Insurance Affiliate Governor; 1 Investment Company Affiliate Governor; 3 Small Firm Governors; 1 Mid-Size Firm Governor; and 3 Large Firm Governors.Of the above 24 FINRA Governors, all… [read post]
27 Jun 2016, 1:43 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
27 Jun 2016, 7:35 am
The Financial Industry Regulatory Authority recently announced that it has fined Oppenheimer & Co. [read post]
26 Jun 2016, 4:33 pm
The underwriters operate under a “passport” system, pursuant to which they are able to conduct business throughout the E.U. while regulated and supervised by the Prudential Regulatory Authority (PRA), the U.K. financial regulator. [read post]
24 Jun 2016, 2:31 pm
Far-reaching EU regulatory harmonization is apparent in relation to certain industries such as financial services, digital, energy or chemicals. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed and registered with Concept Capital Markets, LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jun 2016, 1:12 pm
As many as 44 complaints have been filed by investors against Merrill Lynch with the Financial Industry Regulatory Authority (“FINRA”). [read post]
24 Jun 2016, 1:12 pm
As many as 44 complaints have been filed by investors against Merrill Lynch with the Financial Industry Regulatory Authority (“FINRA”). [read post]
24 Jun 2016, 4:04 am
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Repsby Myles Blechner, Senior Consultant, NCS Regulatory ComplianceOn March 23, 2016, the Securities and Exchange Commission ("SEC") approved Financial Industry Regulatory Authority ("FINRA") FINRA Rule 2273: Educational Communication Related to Recruitment Practices and Account Transfers, which requires member firms who recruit Registered… [read post]
23 Jun 2016, 10:21 am
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 performanc [read post]
23 Jun 2016, 4:53 am
The Claimant walks away with his pockets filled with cash and an expungement of his record.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2015 and as amended thereafter, associated person Claimant Garrity, representing himself pro se, asserted causes of action in “defamation; misconduct; malicious intention; and wrongf... [read post]
22 Jun 2016, 2:23 pm
According to reports, Ameriprise Financial Services Inc. has agreed to pay a $100,000 fine to settle charges by the Financial Industry Regulatory Authority that the firm failed to supervise closed-end fund sales. [read post]
21 Jun 2016, 8:08 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 adjudicati... [read post]
20 Jun 2016, 9:28 am
At the end of today's blog is a Postscript, which may open your eyes and drop your jaw when you realize that there was far more to this employment dispute than was presented in the Decision.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement ... [read post]
20 Jun 2016, 4:18 am
Problem was, someone had dropped the drawbridge and drained the moat.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, Claimant Schroeder Claim... [read post]
20 Jun 2016, 4:18 am
Read today's article and enjoy the three music videos.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, Robert Myers submitted a ... [read post]
