Search for: "Financial Industry Regulatory Authority"
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17 Dec 2009, 7:39 am
House and Senate Legislation Combined Would Benefit States The House and Senate versions of the bill to restructure the financial services industry contain a number of provisions requested by the states at the past two fall conferences of North American Securities Administrators Association (NASAA), namely: (1) providing states with regulatory authority over a larger percentage of investment advisers; (2) striking mandatory arbitration clauses from contracts,… [read post]
13 Jan 2020, 10:51 am
Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jul 2010, 3:18 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in June 2010: Donald Edwin Derieg, formerly with Wedbush Morgan Securities in Encino, California, was barred from association with any FINRA member in any capacity for what appears to be a case of elder financial abuse. [read post]
4 Apr 2008, 10:58 am
At least one state securities regulator has commenced an investigation, and FINRA (the Financial Industry Regulatory Authority) has issued guidance for investors ("Auction Rate Securities: What Happens When Auctions Fail"). [read post]
26 Nov 2013, 7:52 am
Brokerage firms are regulated by the Financial Industry Regulatory Authority (or FINRA). [read post]
3 Mar 2009, 2:26 pm
The Central Registration Depository (CRD),which is accessible through the Financial Industry Regulatory Authority (FINRA), is the place to do this. [read post]
21 Apr 2008, 2:44 pm
A few weeks ago, the Financial Industry Regulatory Authority (FINRA) issued a warning to broker-dealers and others under its supervision, stating that it would not tolerate the intentional spreading of false rumors or the "engaging in collusive activity to impact the financial condition of an issuer. [read post]
8 Dec 2021, 7:27 am
Financial Reports. [read post]
8 Dec 2021, 11:27 am
Financial Reports. [read post]
7 Jan 2020, 6:59 am
According to Carver’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Carver faces pending allegations of: Financial exploitation of the elderly Negligence Breach of fiduciary duty Unlawful conversion Breach of the Illinois Consumer Fraud Act Negligent misrepresentation Violation of FINRA Rules Violation of state and federal securities laws Carver also settled a separate customer dispute this year for $20,000 concerning… [read post]
26 May 2020, 6:30 am
More recently, we have seen expanded authority given to nontraditional regulators, including state departments of insurance and financial regulation. [read post]
26 May 2020, 6:30 am
More recently, we have seen expanded authority given to nontraditional regulators, including state departments of insurance and financial regulation. [read post]
15 Jun 2023, 4:49 am
“Last year, the Committee on Financial Services sent a letter to Chair Gensler expressing our concern that the Commission’s attempt to expand the definition of an exchange to include ‘Communication Protocol Systems’ exceeded its statutory authority,” wrote Patrick McHenry (R-N.C.), chairman of the House Committee on Financial Services, and French Hill (R-Ark.), the committee vice chairman. [read post]
14 Jan 2021, 9:05 pm
” The Office of the Comptroller of the Currency finalized its “fair access” rule, which prohibits national banks from refusing to conduct business with entities in controversial industries such as fossil fuels and gun manufacturing for reasons other than financial risk. [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit of… [read post]
19 Apr 2021, 7:35 am
The rulemaking process requires that proposed regulations are issued first for industry and public comment before finalizing the regulations. [read post]
28 Feb 2023, 6:25 am
The Court will consider in Consumer Financial Protection Bureau (CFPB) v. [read post]
2 Oct 2009, 9:58 am
Most likely, the finder offering to raise capital for your startup SHOULD be registered with FINRA (Financial Industry Regulatory Authority) and your state's securities board. [read post]
15 Sep 2009, 7:14 am
He also alleged that fund managers weren't properly supervised, according to a complaint filed with the dispute resolution arm of the Financial Industry Regulatory Authority, or Finra. [read post]
1 Feb 2021, 9:15 am
Pursuant to their membership with the Financial Industry Regulatory Authority (FINRA), brokerage firms like DBSI have supervisory duties that require them to monitor both the internal and external business activities of their registered employees and brokers like Mr. [read post]
