Search for: "Financial Industry Regulatory Authority"
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5 Nov 2015, 4:00 am
Probably, though, their financial fortunes are unlikely to increase dramatically in direct consequence. [read post]
3 Nov 2015, 6:00 pm
The Financial Industry Regulatory Authority (FINRA) has proposed new rules to combat the financial exploitation of senior citizens. [read post]
3 Nov 2015, 6:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Baumann (Baumann) has been the subject of at least 2 customer complaints and two judgements or liens. [read post]
3 Nov 2015, 6:23 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Pizzimenti (Pizzimenti) has been the subject of at least 4 customer complaints. [read post]
3 Nov 2015, 6:20 am
The Draft Insurance IT Rules follow the CBRC’s lead in making specific application of these policies to insurance, an industry of critical importance to China’s financial system and national economy. [read post]
2 Nov 2015, 12:01 pm
This article was originally posted on Stock Market Loss The Public Investors Arbitration Bar Association (PIABA) believes the SEC should increase the public comment period for the proposed merger of its independent arbitration division of the Financial Industry Regulatory Authority (FINRA) with its regulatory arm. [read post]
2 Nov 2015, 6:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Stapleton (Stapleton) has been the subject of at least 2 customer complaints, 1 regulatory action, and 6 judgements or liens. [read post]
2 Nov 2015, 6:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael McDonald (McDonald) has been the subject of at least 5 customer complaints. [read post]
1 Nov 2015, 5:44 pm
The industry has alread [read post]
1 Nov 2015, 4:44 am
You be the judge.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, Karen Tautges-Parisian submitted a Letter... [read post]
31 Oct 2015, 5:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Glen Delaney (Delaney) has been the subject of at least 2 customer complaints and 3 judgements or liens. [read post]
31 Oct 2015, 5:30 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Lopinto (Lopinto) has been the subject of at least two customer complaints. [read post]
30 Oct 2015, 2:04 pm
The Financial Industry Regulatory Authority found that the firms failed to waive mutual fund sales charges for eligible charitable organizations and retirement accounts. [read post]
30 Oct 2015, 7:42 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Segur (Segur) has been the subject of at least 2 customer complaints, 3 judgements or liens, 1 criminal matter, and 2 regulatory actions. [read post]
29 Oct 2015, 6:18 am
This new 797-page rule, however, significantly exceeds the scope of the required Dodd-Frank amendments and relies heavily on the CFPB’s discretionary regulatory authority. [read post]
29 Oct 2015, 4:34 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Craig Taddonio (Taddonio) has been the subject of at least three customer complaints, three judgements or liens, and one regulatory investigation. [read post]
28 Oct 2015, 6:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brent Porges (Porges) has been the subject of at least four customer complaints, six judgements or liens, and one regulatory investigation. [read post]
27 Oct 2015, 12:57 pm
The seniors get educated about regulatory authorities like FINRA and SEC, and tools like BrokerCheck available to them. [read post]
27 Oct 2015, 11:37 am
Carey Center for Dispute Resolution and the Financial Industry Regulatory Authority (FINRA). [read post]
27 Oct 2015, 6:24 am
The Financial Industry Regulatory Authority (FINRA) barred broker Robert Potter (Potter) (FINRA No. 2014041579901) alleging on August 10, 2015, the agency investigated allegations that Potter commingled customer funds with his personal funds and sent Potter a letter requesting that he provide documents and information by August 17, 2015. [read post]
