Search for: "Financial Industry Regulatory Authority"
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4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
4 Jan 2016, 8:33 am
FINRA DECEMBER 2015 BROKER DISCIPLINARY ACTION REPORT 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]
4 Jan 2016, 8:04 am
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 adjudication of any issue, Jose A. [read post]
4 Jan 2016, 7:25 am
Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044444801). [read post]
30 Dec 2015, 12:00 pm
A year-end report was released by the Financial Industry Regulatory Authority (FINRA) about the securities helpline for senior citizens. [read post]
30 Dec 2015, 8:34 am
Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 20130363873) which resulted in a permanent bar form the securities industry. [read post]
29 Dec 2015, 9:30 pm
Jessica Bassett | July 30 How would you define an excellent regulatory authority? [read post]
28 Dec 2015, 9:30 pm
The Marijuana Industry’s Access to Banks Eric Schlabs | September 22 Vaults, armed guards, and paranoia are costs of doing business today in the recreational marijuana industry. [read post]
28 Dec 2015, 5:37 pm
The FCC has now taken a few steps to address the predicaments faced by the LPTV/translator industries. [read post]
28 Dec 2015, 2:01 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
28 Dec 2015, 7:57 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Velken has been the subject of at least 14 customer complaints. [read post]
27 Dec 2015, 8:19 am
The Federal Industry Regulatory Authority (FINRA) has noted in a related action (FINRA No. 2013035130101) against brokerage firm Cantone Research and its majority owner Anthony Cantone that Brogdon had twice been barred from the securities industry. [read post]
24 Dec 2015, 4:24 am
An interesting read that touches on many compliance and litigation issues.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, Claimant Sofia Friedman, representing herself pro se, all... [read post]
23 Dec 2015, 9:09 am
The Financial Industry Regulatory Authority (FINRA) has fined Cantor Fitzgerald & Co. $6 million for selling billions of unregistered microcap shares. [read post]
21 Dec 2015, 9:00 pm
Indeed, the legal authority for the Paris Agreement traces to its earlier predecessor, the Framework Convention on Climate Change, agreed to by George H.W. [read post]
21 Dec 2015, 12:17 pm
[vii] This is a welcome codification of a practice long accepted in the securities industry. [read post]
21 Dec 2015, 11:43 am
Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority’s Office of Fraud Detection and Market Intelligence.SEC Press Release [read post]
20 Dec 2015, 1:56 pm
FINRA Fined Fidelity More than $1 Million for Failing to Protect Older InvestorsSecurities industry watchdog, the Financial Industry Regulatory Authority (FINRA) has announced that it has fined Fidelity $500,000 and demanded the brokerage pay restitution of $530,000 to nine Fidelity clients - eight of whom were senior investors - who were scammed by a fake broker.According to FINRA, Lisa Lewis posed as a Fidelity broker in order to obtain their… [read post]
20 Dec 2015, 4:39 am
It is not an unfamiliar scenario on the Street.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2009 and as amended thereafter, registered representative Claimant Chrys asserted slander per se; tortious interference with contractual relationship; tortious interference with prospective business relationships; malicious prosecution; abuse of process; unjust… [read post]
