Search for: "Financial Industry Regulatory Authority"
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8 Feb 2016, 1:48 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2015, Claimant Farris asserted that between August 2013 and August 2014, he had w... [read post]
7 Feb 2016, 5:45 am
It reads as follows in Annex II to the TPP agreement: Canada reserves the right to adopt or maintain any measure that affects cultural industries and that has the objective of supporting, directly or indirectly, the creation, development or accessibility of Canadian artistic expression or content, except: a) discriminatory requirements on services suppliers or investors to make financial contributions for Canadian content development; and b) measures restricting the access to… [read post]
6 Feb 2016, 11:43 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marshall Cassedy (Cassedy). [read post]
5 Feb 2016, 1:46 pm
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other regulators, regularly engage in investigations to explore, deter and punish market conduct that violates the securities laws and industry rules. [read post]
4 Feb 2016, 8:57 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. [read post]
3 Feb 2016, 10:41 am
The securities lawyers of Gana LLP are investigating the termination by The Financial Industry Regulatory Authority (FINRA) of broker Ricardo Fancois (Fancois). [read post]
3 Feb 2016, 7:27 am
BROKER MISCONDUCT Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report of disciplinary actions recently taken against brokerage firms and brokers. [read post]
3 Feb 2016, 3:22 am
FINRA Statement Of Corrective Action Defamation Lawsuit Slams Brokerage FirmAttendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement a Corrective Action Statement to demonstrate the steps taken by a respondent to prevent future misconduct subject to the… [read post]
3 Feb 2016, 2:30 am
The CFPB is urging banks and credit unions to offer consumers accounts that do not authorize them to spend money they don’t have. [read post]
2 Feb 2016, 11:51 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Honetta Kao (Kao). [read post]
2 Feb 2016, 11:50 am
” Susan Axelrod, FINRA’s Executive Vice President of Regulatory Operations, added: “The financial markets are evolving rapidly and the industry must continually assess risk, exposure, and how brokers interact with customers. [read post]
1 Feb 2016, 2:24 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Starks (Starks). [read post]
1 Feb 2016, 2:22 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Marat (a/k/a Matt) Zeltser (Zeltser). [read post]
1 Feb 2016, 10:37 am
Then, violations of self-regulatory rules can be enforced under the FTC’s deception authority. [read post]
1 Feb 2016, 2:21 am
Attendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement a Corrective Action Statement to demonstrate the steps taken by a respondent to prevent future misconduct subject to the understanding that such an attachment may not deny the charges or make… [read post]
31 Jan 2016, 12:33 pm
The Central Depository Registry The Financial Industry Regulatory Authority (“FINRA”) operates and maintains the Central Depository Registry (“CRD”) pursuant to its rules, and by agreement with the North American Securities Administrators Association (“NASAA”) and other securities regulators. [read post]
30 Jan 2016, 12:30 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Eichner (Eichner). [read post]
30 Jan 2016, 12:29 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Brian Zimmerman (Zimmerman). [read post]
28 Jan 2016, 2:56 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Johnathan McHale (McHale). [read post]
27 Jan 2016, 1:47 pm
FINRA Report on Cybersecurity Practices In February 2015, the Financial Industry Regulatory Authority (FINRA) issued its Report on Cybersecurity Practices. [read post]
