Search for: "Financial Industry Regulatory Authority"
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20 Mar 2024, 2:47 am
On 19 March 2024, the Financial Conduct Authority (FCA) published its Business Plan for 2024/25, setting out the work it will do over the next 12 months to help deliver its commitments in the third year of its 3-year strategy, with the aim of achieving better outcomes for consumers and markets. [read post]
16 Jul 2020, 9:23 am
The Financial Conduct Authority (FCA) said Thursday (July 9) it has introduced stronger measures to protect the users of payment cards and digital apps. [read post]
20 Jul 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
13 Aug 2009, 6:15 am
The prospect of a unified supervisory authority is alluring in its simplicity. [read post]
5 Nov 2013, 1:56 pm
The Financial Industry Regulatory Authority (FINRA), the securities industry watchdog, provides the largest arbitration forum to resolve securities disputes. [read post]
24 Jul 2015, 6:01 am
” According to records kept by The Financial Industry Regulatory Authority (FINRA), Buck now has 10 listed customer complaints against him nine of which came within months of Buck’s termination. [read post]
12 Jun 2019, 9:41 am
According to a Letter of Acceptance Waiver & Consent, the Financial Industry Regulatory Authority has allegedly barred Jessee from associating with any FINRA member at any time. [read post]
16 Feb 2022, 9:03 pm
This question has divided financial regulators in recent years. [read post]
6 Jun 2017, 2:41 pm
In the industry the term selling away refers to when a financial advisor solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm. [read post]
20 Apr 2010, 9:46 am
Also, investigations into Schwab's handling of the YieldPlus fund by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are still ongoing. [read post]
20 Apr 2010, 8:46 am
Also, investigations into Schwab's handling of the YieldPlus fund by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are still ongoing. [read post]
16 Mar 2011, 4:31 am
“While most pre-IPO offerings are legitimate, some are frauds in which con artists sell shares they do not actually have,” the Financial Industry Regulatory Authority said Tuesday in a statement. [read post]
18 Jan 2023, 9:27 pm
California FINRA Attorneys With Securities Law Offices in San Diego, Shepherd Smith Edwards and Kantas Represents California Investors Who Have Been The Victims of Broker Fraud or Negligence If you have suffered investor losses caused by the wrongful or negligent actions of your brokerage firm and/or their registered representative, you may want to file a Financial Industry Regulatory Authority (FINRA) arbitration lawsuit for damages. [read post]
16 Jan 2009, 7:00 am
., FINRA (Financial Industry Regulatory Authority), Regional Director, Northeast Region, Dispute ResolutionModerator: Martin L. [read post]
11 Sep 2020, 11:18 am
At Shepherd Smith Edwards and Kantas (SSEK Law Firm), our bond fraud lawyers are here to tell you that you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker that sold you these investments. [read post]
21 Jul 2010, 4:07 pm
A CFPB that is the pawn of the financial industry could do much more harm than good--consider the current example of the agency that was supposed to oversee off-shore drilling.One of the best bulwarks to hold off agency capture will be if the CFPB can attract dedicated career professionals for its staff. [read post]
13 Jul 2017, 7:17 pm
For example, the Assistant Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights… [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights… [read post]
22 Mar 2018, 7:29 am
Five comment letters came from industry and trade associations, seven from industry participants, two from public interest groups, one from a self-regulatory organization, while the overwhelming majority, 81 comments, were submitted by members of the general public. [read post]
