Search for: "Financial Industry Regulatory Authority"
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24 May 2016, 6:31 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Flower (Flower). [read post]
23 May 2016, 10:17 am
, a certification of compliance with a regulatory or contractual requirement). [read post]
23 May 2016, 8:27 am
These included issues regarding the best interest contract exemption, “’conflicts with federal securities laws and [Financial Industry Regulatory Authority] rules, and a lack of cost-benefit analysis of alternatives. [read post]
23 May 2016, 7:27 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Christopher Burtraw (Burtraw) working out of Lakewood, Colorado alleging that the broker borrowed client funds. [read post]
23 May 2016, 7:27 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Cannon (Cannon). [read post]
23 May 2016, 4:45 am
Now that Pennsylvania has become the latest state to authorize medical marijuana, many people will look to invest in this industry. [read post]
23 May 2016, 4:45 am
Now that Pennsylvania has become the latest state to authorize medical marijuana, many people will look to invest in this industry. [read post]
20 May 2016, 3:23 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Wamhoff (Wamhoff). [read post]
20 May 2016, 9:57 am
Brian Slagle On Wednesday May 18, 2016, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing entitled “Examining the CFPB’s Proposed Rulemaking on Arbitration: Is it in the Public Interest and for the Protection of Consumers? [read post]
19 May 2016, 7:01 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Dennis Van Patter (Van Patter). [read post]
19 May 2016, 7:01 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Daniel Dunn (Dunn). [read post]
18 May 2016, 10:09 am
The Financial Industry Regulatory Authority (a/k/a FINRA) recently announced that Raymond James failed over several years to detect suspicious activity in client investment accounts and to report it to government authorities. [read post]
18 May 2016, 6:35 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Jacquin Fink (Fink). [read post]
18 May 2016, 4:34 am
Except the business didn't exist.The odd thing -- the unsettling thing -- is not only does the stockbroker think that there is some mitigation to be presented on his behalf but, inexplicably, FINRA seems to share his belief.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… [read post]
17 May 2016, 7:03 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Goldman (Goldman). [read post]
17 May 2016, 7:03 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Edward Barger (Barger). [read post]
16 May 2016, 8:00 pm
We also saw an increase in investigations into incidents by regulators, including regulators who have only in recent years become active in cyber security enforcement, such as the Security and Exchange Commission (“SEC”), National Credit Union Administration (NCUA), Financial Crimes Enforcement Network (FinCen), Financial Industry Regulatory Authority (FINRA). [read post]
16 May 2016, 4:32 pm
The investment lawyers of Gana LLP are investigating at least four customer complaints brought before the Financial Industry Regulatory Authority (FINRA) against John McGinnis (McGinnis) working out of Escondido, California alleging the sale of promissory notes, private placements, and private loans. [read post]
16 May 2016, 3:31 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker James Ignatowich (Ignatowich). [read post]
16 May 2016, 3:30 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former Finance 500, Inc. [read post]
