Search for: "Financial Industry Regulatory Authority"
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20 Mar 2016, 7:50 am
The securities lawyers of Gana LLP are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against brokerage firm VFG Securities, Inc. [read post]
20 Mar 2016, 7:25 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Ameriprise Financial Services, Inc. [read post]
19 Mar 2016, 6:06 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Jeffrey Ingros (Ingros) (FINRA No. 2013039166001) working out of Beaver, Pennsylvania. [read post]
18 Mar 2016, 6:21 am
The Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), and the Federal Trade Commission (“FTC”), among others, have all been quite active in policing data security practices of financial institutions in recent years. [read post]
18 Mar 2016, 5:48 am
Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization (“SRO”) the Financial Industry Regulatory Authority (“FINRA”). [read post]
17 Mar 2016, 11:08 am
In February 2015, the Financial Industry Regulatory Authority (“FINRA”) released a “Report on Cybersecurity Practices. [read post]
17 Mar 2016, 11:08 am
In February 2015, the Financial Industry Regulatory Authority (“FINRA”) released a “Report on Cybersecurity Practices. [read post]
17 Mar 2016, 8:49 am
That backlash has been particularly severe as a result of the lack of downside or hedge protection sought by financial advisors who fell in love with energy and thought oil especially would forever be scarce - the fracking boom turned that old assumption on its head.Wave of Lawsuits over Investment Losses in Energy SectorThe Financial Industry Regulatory Authority which oversees the financial industry has noted a significant wave of new… [read post]
16 Mar 2016, 2:03 pm
The Financial Industry Regulatory Authority has charged a broker with allegedly lying to clients about commissions he received for selling non-traded REITs and business development companies (BDCs). [read post]
15 Mar 2016, 6:54 am
On February 5, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel of arbitrators (the “Panel) rendered an Award (the “Award”) against the Royal Bank of Scotland’s United States securities divisions, RBS Securities, Inc. [read post]
14 Mar 2016, 9:30 pm
Offering “affirmative financial incentives” to those who come forward to report corporate wrongdoing cements the whistleblower’s role in regulatory enforcement, Krause noted. [read post]
14 Mar 2016, 3:16 pm
On March 3, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) in favor of Bruce Howard Tuchman (“Bruce Tuchman”) and Michelle H. [read post]
14 Mar 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael McMahon (McMahon). [read post]
14 Mar 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bahram Mirhashemi (Mirhashemi). [read post]
12 Mar 2016, 3:41 am
Enjoy the lovely Louis Armstrong tune at the end of the story.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2015 and as thereafter amended, Claimant Alpert asserted breach of contract, unjust enrichment, violations of the New York Labor Law, a violation of New York Debtor Creditor Law. [read post]
10 Mar 2016, 9:40 pm
Government Accountability Office (GAO) reportedly has begun laying the groundwork for its first-ever investigation into Wall Street’s alleged “regulatory capture” of the Fed—a term used to describe the process by which regulatory agencies become dominated by the industries that they are charged with regulating, leading the agencies to act in ways that benefit those very industries, rather than the public. [read post]
9 Mar 2016, 5:06 pm
Other Key HIPAA Regulatory & Enforcement Changes Raise Responsibilities & Risks OCR’s new guidance on access to PHI follows a host of other regulatory and enforcement activities. [read post]
9 Mar 2016, 5:06 pm
Other Key HIPAA Regulatory & Enforcement Changes Raise Responsibilities & Risks OCR’s new guidance on access to PHI follows a host of other regulatory and enforcement activities. [read post]
9 Mar 2016, 4:48 pm
Stamer also is a highly popular lecturer, symposia chair and author, who publishes and speaks extensively on health and managed care industry, human resources, employment and other privacy, data security and other technology, regulatory and operational risk management. [read post]
9 Mar 2016, 4:48 pm
Stamer also is a highly popular lecturer, symposia chair and author, who publishes and speaks extensively on health and managed care industry, human resources, employment and other privacy, data security and other technology, regulatory and operational risk management. [read post]
