Search for: "Financial Industry Regulatory Authority"
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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]
31 Mar 2016, 9:51 am
FINRA Broker Disciplinary Action Report March 2016 Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
31 Mar 2016, 5:57 am
This 90-day period indeed poses a regulatory challenge to listed JSCs with losses reaching 50% or more of their share capital and jeopardizes their existence altogether. [read post]
30 Mar 2016, 1:52 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) awarded three investors more than $470,000 in an arbitration award against UBS Group AG’s wealth management for over-concentration in Puerto Rico bonds. [read post]
28 Mar 2016, 6:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mickey Long (Long). [read post]
28 Mar 2016, 6:26 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Jesse Griffin (Griffin). [read post]
24 Mar 2016, 11:48 pm
A new report from the RAND Corporation analyzed the regulatory challenges associated with “self-driving” vehicles. [read post]
24 Mar 2016, 6:18 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bruce Stark (Stark). [read post]
23 Mar 2016, 9:11 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Joel Benanti (Benanti). [read post]
22 Mar 2016, 6:57 am
Through the information gleaned from the audits, OCR will develop tools and guidance to assist the industry in compliance self-evaluation and in preventing breaches. [read post]
22 Mar 2016, 6:57 am
Through the information gleaned from the audits, OCR will develop tools and guidance to aid the industry in compliance self-evaluation and in preventing breaches. [read post]
22 Mar 2016, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Susan Moore (Moore). [read post]
22 Mar 2016, 4:07 am
Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, public customers Claimants Elaine Hornyak and Steven Hornyak alleged breach of fiduciary duty, m... [read post]
21 Mar 2016, 3:25 pm
If you invested with Jeffrey Davis and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call 1-888-637-5510 for a free consultation. [read post]
21 Mar 2016, 12:52 pm
Former New York broker, Edward Beyn, has been accused by the Financial Industry Regulatory Authority (FINRA) of churning. [read post]
21 Mar 2016, 12:50 pm
The Financial Industry Regulatory Authority (FINRA) barred Foerster from working as a broker in 2014, after investigating allegations that he solicited clients to invest in a fictitious entity and converted their funds to his personal use. [read post]
21 Mar 2016, 11:21 am
Case In Point For 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, Edwin Pereira de Andrade submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
21 Mar 2016, 10:59 am
On March 15, the Financial Industry Regulatory Authority (commonly referred to as “FINRA”) issued a Report that emphasizes that offerings of digital investment advice requires sound governance and supervision, including effective means of overseeing the suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing. [read post]
21 Mar 2016, 8:55 am
The investment lawyers of Gana LLP are investigating a customer complaint brought before the Financial Industry Regulatory Authority (FINRA) against Gerald “Jerry” Tagge (Tagge) working out of Omaha, Nebraska alleging the sale of $125,000 in promissory notes. [read post]
21 Mar 2016, 12:00 am
Gamvros advises clients from multinationals to local businesses in a broad range of industries, including technology, telecommunication, retail and fashion, travel, financial services, logistics, and pharma/healthcare. [read post]
