Search for: "Financial Industry Regulatory Authority"
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5 Apr 2016, 6:55 pm
These enforcement initiatives may tend to make the position of compliance officer much less desirable, particularly if these spread beyond the financial services industry. [read post]
5 Apr 2016, 4:13 am
The rulemaking notice cites a September 2015 letter in which SEC Chair White responded to industry groups expressing her strong support for industry efforts to shorten the trade settlement cycle to T+2 and urging the industry to continue to pursue the necessary steps towards achieving T+2 by the third quarter of 2017. [read post]
4 Apr 2016, 5:30 pm
The allegations against Lockey were brought by the Financial Industry Regulatory Authority (FINRA). [read post]
4 Apr 2016, 10:30 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Hayne (Hayne). [read post]
4 Apr 2016, 10:29 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Lance Shaw (Shaw). [read post]
4 Apr 2016, 10:28 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Charles Geraci (Geraci). [read post]
4 Apr 2016, 10:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Timothy Hobbs (Hobbs). [read post]
4 Apr 2016, 10:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker William Utanski (Utanski). [read post]
4 Apr 2016, 8:14 am
Although an Acceptance, Waiver, and Consent ("AWC") appears to be the most common outcome for Financial Industry Regulatory Authority ("FINRA") regulatory investigations, the mechanics and consequences of such a settlement are rarely understood by many registered representatives acting as their own counsel, and often not properly explained by lawyers to their industry clients. [read post]
4 Apr 2016, 3:36 am
Consider the efforts of an HSBC registered representative in a recent FINRA regulatory settlement.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 adjud... [read post]
2 Apr 2016, 4:09 am
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in DATE, In the Matter of the FINRA Arbitration Between CLAIMANT, Claimants, vs. [read post]
1 Apr 2016, 11:08 am
On Tuesday, in our nation’s capital, the Securities and Exchange Commission (SEC) did its best interstate speed trap impression when it announced that it would delay the adoption of the pay-to-play regulatory proposal submitted by the Financial Industry Regulatory Authority (FINRA) in late December of 2015 so as to allow further comment on the potential impact of the provisions. [read post]
1 Apr 2016, 11:08 am
On Tuesday, in our nation’s capital, the Securities and Exchange Commission (SEC) did its best interstate speed trap impression when it announced that it would delay the adoption of the pay-to-play regulatory proposal submitted by the Financial Industry Regulatory Authority (FINRA) in late December of 2015 so as to allow further comment on the potential impact of the provisions. [read post]
1 Apr 2016, 9:33 am
" An updated regulatory version of that classic was recently performed by the Financial Industry Regulatory Authority, Raymond James, and probably Wells Fargo. [read post]
31 Mar 2016, 1:17 pm
(“Raymond James”) moved to vacate a Financial Industry Regulatory Authority (“FINRA”) panel’s (the “Panel”) Award, delivered on February 2, 2016 (the “Award”), which awarded Mark Immel (“Mr. [read post]
31 Mar 2016, 12:12 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Hardcastle (Hardcastle). [read post]
31 Mar 2016, 12:11 pm
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Wayne Schultz (Schultz) (FINRA No. 2015044640601) of Branchburg, New Jersey. [read post]
31 Mar 2016, 12:10 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Gregg Templeton (Templeton). [read post]
31 Mar 2016, 12:10 pm
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Robert Cross (Cross) (FINRA No. 2014041637201) of Rome, Georgia. [read post]
Report by MLCL Principal Hugh Berkson Draws Federal Scrutiny to Problem of Unpaid Arbitration Awards
31 Mar 2016, 9:56 am
More than 400 PIABA members represent investors nationwide in mandatory arbitration conducted under the auspices of the Financial Industry Regulatory Authority (FINRA). [read post]
