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18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
18 Jun 2021, 8:16 am
Legal and Regulatory Developments SPOTLIGHT: Lina Khan, Prominent Big Tech Critic, Will Lead the FTCNPR – June 15, 2021 President Joe Biden has named Lina Khan as the chairwoman of the Federal Trade Commission, giving the regulatory authority’s top spot to one of Silicon Valley’s most prominent critics. [read post]
16 Jun 2021, 12:32 pm
While employed by REJ, Badgerow signed an agreement to arbitrate any disputes she had with Ameriprise or its affiliates, which included the three principals for whom she worked, before an arbitration panel of the Financial Industry Regulatory Authority (FINRA). [read post]
14 Jun 2021, 9:59 am
The subcommittee will hear testimony from Ivan Garces, chair of risk advisory services at Kaufman Rossin; Eric Lorber, senior director for the Center on Economic and Financial Power at the Foundation for Defense of Democracies; Lakshmi Kumar, policy director for Global Financial Integrity; Jesse Spiro, global head of policy and regulatory affairs at Chainalysis; and Jeffrey Taliaferro, professor at Tufts University. [read post]
8 Jun 2021, 1:45 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Ricardo Turlan from the securities industry for two months. [read post]
8 Jun 2021, 11:57 am
The Financial Industry Regulatory Authority “(FINRA”) has suspended Cadaret, Grant & Co., Inc. broker Matthew Zanowiak from the securities industry for ten business days for exercising discretion without written authorization in approximately 15 customer accounts. [read post]
7 Jun 2021, 9:29 am
.: The House Judiciary Subcommittee on Courts, Intellectual Property and the Internet will hold a hearing on civil enforcement of congressional authorities. [read post]
1 Jun 2021, 12:14 pm
Act as a key representative on privacy, data & AI issues before policymakers, regulatory agencies, civil society organizations, industry and the broader public. [read post]
31 May 2021, 7:16 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Jeffrey Warren from the securities industry. [read post]
28 May 2021, 1:17 pm
James Childress LPL Financial LLC Securities Service Network, Inc. [read post]
28 May 2021, 12:19 pm
Ameriprise Financial Services, Inc. [read post]
28 May 2021, 8:02 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 May 2021, 6:27 am
Hopkins’ BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA) contains several recent disclosures, including two customer disputes, a regulatory action initiated by FINRA, as well as a Complaint filed by the United States Securities and Exchange Commission (SEC). [read post]
27 May 2021, 9:15 am
FCA Extends SCA Deadline by a Further Six MonthsFinextra – May 20, 2021 The UK’s Financial Conduct Authority is to delay the implementation of strong customer authentication rules by a further six months in an effort to minimise disruption to consumers and merchants. [read post]
27 May 2021, 7:47 am
FINRA Reportedly Decides Mercer Hicks III Recommended Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA), the regulator’s hearing has reportedly rendered a decision on May 19, 2021 wherein broker Mercer Hicks III, of Charlotte, NC, is barred from association with any FINRA member in all capacities and ordered to pay disgorgement to FINRA in the amount of $38,812.60 in commissions received. [read post]
24 May 2021, 1:21 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker Mercer (“Toby”) Hicks III from the securities industry for making unsuitable investment recommendations to five elderly customers ranging in age from 73 to 88 years old. [read post]
24 May 2021, 7:22 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
22 May 2021, 12:04 pm
(JJCI) and Imerys Talc America, Inc. [read post]
21 May 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Carl Antaki from the securities industry for three months. [read post]
17 May 2021, 2:49 pm
Tuesday, May 18, 2021, at 2:30 p.m.: The Senate Armed Services Subcommittee on Cyber will hold a hearing on the cybersecurity of the defense industrial base. [read post]
