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7 Dec 2022, 11:17 am
See: Bradley Goodbred allegedly stole $1.2 M from Elderly Client The Financial Industry Regulatory Authority (FINRA) reportedly barred Goodbred last March after he reportedly refused to provide testimony in FINRA’s investigation regarding his alleged dismissal from his member firm, LPL Financial. [read post]
25 Jan 2018, 11:33 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
20 Nov 2011, 6:44 pm
As of now, industry professionals have noted the complexity of US regulatory measures. [read post]
16 Apr 2015, 11:14 am
(collectively “UBS”) for its marketing and sale of closed-end bond funds composed of Puerto Rican municipal debt (the “Puerto Rico Bond Funds”), two former UBS registered representatives, Jorge and Teresa Bravo (collectively, the “Bravos”), are suing the firm in an arbitration before the Financial Industry Regulatory Authority (“FINRA”) for its sales and management practices with respect to the Puerto Rico Bond Funds… [read post]
8 Apr 2014, 3:45 pm
Brokers-dealers that make unsuitable investment recommendations and/or mislead clients regarding DBSI may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Sep 2009, 8:11 am
Later that same month, the Financial Industry Regulatory Authority (FINRA) began probing for information about sales of private placements from broker/dealers who sold Medical Capital offerings to investors. [read post]
16 Sep 2009, 1:33 pm
Financial Industry Regulatory Authority (FINRA), published a regulatory notice regarding the approval by the Securities and Exchange Commission of amendments to NASD Rules 1022 and 1032. [read post]
28 May 2019, 9:13 am
” Then the Financial Industry Regulatory Authority Inc. [read post]
10 May 2019, 7:05 am
Today’s proposals reflect an important step forward in the Commission’s efforts to stand up the Dodd-Frank Title VII regulatory regime. [read post]
19 Oct 2009, 2:00 pm
The government has repeatedly asserted that regulatory overhaul is needed to protect us from another financial disaster. [read post]
26 Nov 2012, 6:29 pm
According to Financial Industry Regulatory Authority EVP Susan Axelrod, the SRO’s examiners are reporting an increase in how many brokers appear to be taking part in questionable actions outside their firms or improperly selling securities. [read post]
13 Oct 2011, 4:29 pm
2nd Circuit Holds that FINRA Lacks Statutory Authority and FINRA Rule was Invalid The Securities Exchange Act of 1934 (the “Exchange Act”) authorizes the Financial Industry Regulatory Authority (“FINRA”) and other SROs to regulate within the securities industry. [read post]
4 Sep 2012, 7:45 am
Financial Services Authority, the Association for Financial Markets in Europe, the London Metal Exchange, the Korea Federation of Banks, the Association of German Banks, and the European Commission. [read post]
14 Oct 2013, 9:30 pm
The post is part of a three-part series on The Continuing Debate Over Regulatory Incorporation. [read post]
9 Jun 2016, 10:18 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
14 Apr 2017, 5:00 am
By John Filar AtwoodAs part of the initiative to review and modernize its operations and programs, the Financial Industry Regulatory Authority (FINRA) issued three notices seeking feedback on the capital formation process for broker-dealers. [read post]
4 Aug 2016, 11:59 am
Attorney’s Office for the District of Connecticut, Federal Bureau of Investigation, and Financial Industry Regulatory Authority. [read post]
6 Oct 2013, 1:18 pm
Include a cover letter and a copy of the author’s curriculum vitae. [read post]
7 Feb 2013, 9:41 am
On February 6, 2013, the Financial Industry Regulatory Authority (FINRA) announced that a public customer was awarded an award of full rescission against Wachovia Securities, LLC, doing business as Wells Fargo Advisors, LLC ("Wells Fargo") for the entirety of Fannie Mae Preferred shares recommended by Wells Fargo. [read post]
6 Sep 2019, 7:16 am
By Amy Leisinger, J.D.The Investment Adviser Association has submitted comments to the SEC on the Financial Industry Regulatory Authority’s proposal to amend FINRA Rules 5130 and 5131 governing purchases and sales of initial public offerings. [read post]
