Search for: "Financial Industry Regulatory Authority"
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26 Apr 2016, 10:20 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against National Securities Corporation (National Securities) broker Daniel Alcide (Alcide). [read post]
26 Apr 2016, 10:19 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against National Securities Corporation (National Securities) broker Jason Wilk (Wilk). [read post]
25 Apr 2016, 4:42 pm
The Regulatory Burden for U.S. [read post]
25 Apr 2016, 6:42 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Matthew Turner (Turner). [read post]
25 Apr 2016, 6:41 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Lisa Wolf (Wolf). [read post]
25 Apr 2016, 3:47 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, FINRA member firm Claimant Janney Montgomery Scott LLC sought to recover the balance on two promissory notes dated April 20, 2014, and May 16, 2014, from former associated person Respondent Kelleher. [read post]
23 Apr 2016, 10:52 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Zak Shapiro (Shapiro). [read post]
23 Apr 2016, 10:51 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Roman Reed (Reed). [read post]
23 Apr 2016, 4:57 am
You be the judge.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 without an adjudication of any issue, Dakota Securities International, Inc. and Bruce Martin Zipper submitted a Letter of Acceptance, Waiver and Co... [read post]
23 Apr 2016, 4:51 am
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 without an adjudication of any issue, Jeffrey C. [read post]
21 Apr 2016, 12:05 pm
These limitations are certainly of cold comfort to covered entities (and recall that entire industries are covered). [read post]
21 Apr 2016, 10:07 am
When conducting this review, Covered Entities and business associates also generally should consider the advisability of also reviewing their business associate agreements and the adequacy of these arrangements in light of any other contractual confidentiality and or contractual rights and commitments, regulatory requirements and other operational and risk management concerns that impact or interrelate with the relationship between the business associate and the Covered Entity. [read post]
21 Apr 2016, 10:07 am
When conducting this review, Covered Entities and business associates also generally should consider the advisability of also reviewing their business associate agreements and the adequacy of these arrangements in light of any other contractual confidentiality and or contractual rights and commitments, regulatory requirements and other operational and risk management concerns that impact or interrelate with the relationship between the business associate and the Covered Entity. [read post]
21 Apr 2016, 9:30 am
The United States Court of Appeals for the Fifth Circuit has ruled that federal diversity jurisdiction existed after the Financial Industry Regulatory Authority (“FINRA”) issued a $10,000 arbitration award. [read post]
21 Apr 2016, 8:54 am
, a certification of compliance with a regulatory or contractual requirement). [read post]
20 Apr 2016, 9:30 pm
The financial crisis and the subsequent legislative and regulatory response changed this basic design with the advent of the epistemologically scrambling “stress tests,” a broad family of activities that apply to the largest financial institutions. [read post]
20 Apr 2016, 3:00 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
19 Apr 2016, 12:17 pm
In an effort to address these issues the Financial Industry Regulatory Authority (FINRA) issued an investor alert on April 7, 2016 to help address some of the larger and more common questions about the law of required minimum distribution (RMD). [read post]
17 Apr 2016, 1:01 pm
Private economic power has been separated from the public exercise of regulatory authority by states (eg here). [read post]
17 Apr 2016, 8:27 am
Geist failed to notice that the border measures he refers to that pertain to “confusingly similar” trademark goods permits detention to be made by “competent authorities”, which the TPP makes clear includes “the appropriate judicial, administrative or law enforcement authorities under a Party’s law. [read post]
