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17 May 2021, 12:00 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. [read post]
14 May 2021, 8:01 am
The representative also said the SEC does not need additional authority to act on climate risk. [read post]
14 May 2021, 7:51 am
District Judge Yvonne Gonzalez Rogers’ comments came during the examination of Apple Inc. [read post]
13 May 2021, 1:10 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Adam Belardino. [read post]
4 May 2021, 1:08 pm
A SPAC will typically target an identified industry sector or geographic region. [read post]
4 May 2021, 6:13 am
The banking licence requirement does not apply to advance payments, extensions of payment terms, property finance lease arrangement and intragroup treasury operations, pursuant to the French Monetary and Financial Code. [read post]
30 Apr 2021, 7:27 am
Morgan Stanley Broker Jacob “Cobby” Shapira allegedly Shorted Amazon Stock According to Financial Advisor IQ this week, a Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley and financial advisor Jacob Shapira to pay close to $800,000 over alleged over-concentration and churning in short positions. [read post]
29 Apr 2021, 8:26 am
Tech Giants Risk Squeezing Out Banks, French Watchdog WarnsBloomberg – April 29, 2021 Payment services run by Apple Inc., Google and Amazon.com Inc. may need monitoring as the tech giants’ largely unregulated financial products squeeze out those of banks, France’s competition authority warned. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
27 Apr 2021, 5:15 pm
Thus, ARP authorizes employers of 500 or fewer employees that voluntarily provide COVID Paid Leave for all employees to claim a tax credit against their employment taxes. [read post]
27 Apr 2021, 1:39 pm
These investors recently filed an arbitration claim with the Financial Industry Regulatory Authority, alleging unsuitability, breach of fiduciary duty and failure to supervise. [read post]
26 Apr 2021, 9:32 am
The committee will hear testimony from Douglas Glenn, deputy chief financial officer for the Defense Department; Wesley Miller, senior official performing the duties of the assistant Army secretary for financial management; Alaleh Jenkins, senior official performing the duties of the assistant Navy secretary for financial management; and Stephen Herrera, principal deputy assistant secretary of the Air Force for financial management. [read post]
23 Apr 2021, 11:49 am
Boutique Broker-Dealer Pays Another 7-Figures to Resolve Customer Disputes Independent brokerage firm Purshe Kaplan Sterling Investments, Inc. has agreed to settle another Financial Industry Regulatory Authority (FINRA) arbitration claim with investors. [read post]
22 Apr 2021, 8:58 am
Also on Thursday, the country’s market regulatory authorities held an antitrust work conference in Kunming, Southwest China’s Yunnan Province. [read post]
16 Apr 2021, 8:43 am
The firm acknowledged an inquiry in a regulatory filing last month without elaborating on the specific issues at hand. [read post]
14 Apr 2021, 2:14 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Dellaporta, Jr. from the securities industry. [read post]
14 Apr 2021, 12:56 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Hugues Guirand. [read post]
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
14 Apr 2021, 8:43 am
Claimant Alleges Overconcentration, Unsuitability, Failure to Supervise A Portland, Oregon semi-retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. and is seeking up to $500K in damages. [read post]
13 Apr 2021, 6:26 am
Most notably, Ezri has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) for unauthorized trading activity. [read post]
