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10 May 2019, 7:05 am
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps administered by the Commission with the regulatory… [read post]
10 May 2019, 6:02 am
SEC, FinCEN, FINRA, and others have been active in this area, particularly with regard to trading at, by, or through the financial institution. [read post]
10 May 2019, 5:08 am
In a recent regulatory settlement, FINRA barred a former registered representative, who had become a nonregistered, associated person. [read post]
10 May 2019, 5:08 am
This is what mandatory FINRA intra-industry arbitration should look like. [read post]
10 May 2019, 5:08 am
FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs / Digital Experience Transformation Invites Firms to "Help Us Design the Future" of Compliance Reporting and Management (FINRA News Release)http://www.finra.org/newsroom/2019/finra-launches-initiative-simplify-firms-digital-experience-finraFINRA's initiative is scheduled to be implemented in stages… [read post]
10 May 2019, 5:08 am
Today, Bill is left in a state of stunned silence by a phenomenal FINRA Arbitration Decision, which found that a former JP... [read post]
10 May 2019, 5:08 am
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4593/FINRA-Opioid-Drugs/Today's featured FINRA regulatory case is about a Wells Fargo employee who was charged with converting funds from his employer and failing to fully cooperate in FINRA's ensuing investigation. [read post]
9 May 2019, 12:29 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
9 May 2019, 9:33 am
If it can be determined that the financial advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
9 May 2019, 7:44 am
[1] See Smaller Reporting Company Definition, Release No. 33-10513 (June 28, 2018) [83 FR 31992 (July 10, 2018)].SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
8 May 2019, 1:08 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering Morgan Stanley (MS) to pay a claimant $454,813 for retirement fund mismanagement. [read post]
8 May 2019, 10:28 am
If it can be determined that the advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
8 May 2019, 9:13 am
Shopoff Securities and William Shopoff allegedly thereby allegedly willfully violated Securities Exchange Act and FINRA Rules, FINRA states. [read post]
8 May 2019, 6:51 am
Claims may be brought in securities arbitration before FINRA. [read post]
8 May 2019, 6:50 am
Claims may be brought in securities arbitration before FINRA. [read post]
7 May 2019, 11:22 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
7 May 2019, 10:36 am
In 2003 Devlin was sanctioned with suspension and disgorgement by the NASD and in 2017, Devlin was suspended from FINRA and received a financial penalty. [read post]
7 May 2019, 7:36 am
The securities fraud attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Dispute Resolution claim. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Neely has been accused by FINRA of engaging in unauthorized trading in client accounts. [read post]
7 May 2019, 6:26 am
Claims may be brought in securities arbitration before FINRA. [read post]
