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15 Nov 2015, 9:30 pm
Vasisht also noted more recent changes in the financial markets, such as the growth of the asset management industry, the increased risks concentrated in central clearing counterparties, and the emergence of high frequency trading in increasingly fragmented and opaque financial markets. [read post]
15 Nov 2015, 6:40 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Gill (Gill) has been the subject of at least 9 customer complaints, 2 criminal matters, 2 employment terminations, and 5 regulatory complaints. [read post]
13 Nov 2015, 7:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Donald Fowler (Fowler) has been the subject of at least 10 customer complaints. [read post]
12 Nov 2015, 11:14 am
Financial Statement Requirements In a change from the proposed rules, the final rules provide some accommodations with respect to financial statement requirements depending upon the target offering size and for first-time issuers. [read post]
12 Nov 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Turpin (Turpin) was recently discharge from Source Capital Group, Inc. [read post]
11 Nov 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) announced its approval of a rule in a press release to help brokerage firms protect seniors citizens and other vulnerable adults from financial exploitation. [read post]
10 Nov 2015, 9:30 pm
Representatives from the power supply industry argue that the order went beyond FERC’s legal authority and did not address their comments. [read post]
10 Nov 2015, 5:45 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ralph Savoie (Savoie) (FINRA No. 2015046239401) resulting in a bar from the securities industry alleging that Savoie failed to provide FINRA staff with information and documents requested. [read post]
10 Nov 2015, 4:59 am
Fundamental changes to the existing regulatory framework, as it affects foreigners, are not proposed in the draft law. [read post]
9 Nov 2015, 4:20 pm
If you invested with Michael Oppenheim and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call the firm’s Chicago office at 312-238-9650. [read post]
9 Nov 2015, 3:19 pm
The Financial Industry Regulatory Authority (FINRA) is investigating MetLife for potential violations involving variable annuities. [read post]
9 Nov 2015, 7:21 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Jeffrey Mohlman (Mohlman) (FINRA No. 2015044734401) resulting in a bar from the securities industry alleging that Mohlman failed to provide FINRA staff with information and documents requested. [read post]
8 Nov 2015, 4:50 pm
The question whether concerns about climate change-related disclosures might lead to regulatory enforcement actions or even liability claims has been around for some time, but though the concerns have remained, the regulatory actions and liability claims have not really materialized. [read post]
8 Nov 2015, 11:34 am
The Financial Industry Regulatory Authority (FINRA) fined (Case No. 2013036001201) broker Garrett Ahrens (Ahrens) concerning allegations that the broker used false and misleading consolidated reports with clients. [read post]
6 Nov 2015, 2:40 pm
The Financial Industry Regulatory Authority (FINRA) expelled Halcyon Cabot Partners in connection with the scheme. [read post]
6 Nov 2015, 9:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Damon Vickers (Vickers) has been the subject of at least three customer complaints, one regulatory investigation, and one criminal matter. [read post]
5 Nov 2015, 11:46 am
According to the FTC, the operation will involve coordinated actions by the Department of Justice, the Consumer Financial Protection Bureau (CFPB), 47 state attorneys general, 17 state regulators, other state and local law enforcement authorities, and even one Canadian agency. [read post]
5 Nov 2015, 9:31 am
Every year in the first quarter, the Financial Industry Regulatory Authority publishes an annual letter about its regulatory and examination priorities to highlight emerging and existing risks that could affect investors and the integrity of the financial markets.On Thursday FINRA Chairman and CEO Richard Ketchum offered a preview of the 2016 letter at the SIFMA/AICPA Financial Management Society Annual Conference held in New York… [read post]
5 Nov 2015, 8:43 am
FINRA (Financial Industry Regulatory Authority) For our part, in addition to circulating the entire FINRA broker-dealer disciplinary report to help get the word out about these alleged misdeeds, we like to pick out some of the highlights from each report. [read post]
5 Nov 2015, 5:54 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Randy Birkinbine (Birkinbine) has been the subject of at least 2 customer complaints, 4 judgements or liens, and 1 employment separation for cause. [read post]
