Search for: "Financial Industry Regulatory Authority"
Results 7081 - 7100
of 11,238
Sort by Relevance
|
Sort by Date
29 Sep 2015, 8:00 am
The DAA, a cross-industry, self-regulatory group of advertising and media companies, has until now focused its enforcement of the Principles exclusively on the desktop browser environment. [read post]
29 Sep 2015, 7:18 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Jonathan Williams (Williams) (FINRA No. 20150452689) resulting in a bar from the securities industry alleging that Williams failed to provide FINRA staff with information and documents requested. [read post]
28 Sep 2015, 4:25 pm
Jones pre-dated the cybersecurity guidance issued to date by both OCIE and the Financial Industry Regulatory Authority (“FINRA”). [read post]
28 Sep 2015, 2:10 pm
In response to certain long-standing industry practices that it views as prohibited by the FLSA, DOL has included oil and gas industry and a broad range of other employers among the industries that DOL is specifically targeting for investigation and enforcement of minimum wage, overtime and other FLSA violations as well as educational outreach to employers and employees in the industry. [read post]
28 Sep 2015, 12:19 pm
Syngenta also argued that it shouldn’t be liable because its products were approved for sale by regulatory agencies, but it didn’t show that those agencies “necessarily approved (or had the authority to approve) the commercialization of its products in an unreasonable manner. [read post]
28 Sep 2015, 8:59 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Michael Highfill (Highfill) (FINRA No. 2015045652501) resulting in a bar from the securities industry alleging that Highfill failed to provide FINRA staff with information and documents requested. [read post]
28 Sep 2015, 8:58 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Rasheed a/k/a Richard Adams (Adams) (FINRA No. 2015045911001) resulting in a bar from the securities industry alleging that between July 2013, and June 2014, Adams engaged in unsuitable excessive trading and churning in two of his customers’ accounts. [read post]
28 Sep 2015, 8:43 am
Stephen Vobril, a former Northwestern Mutual Life Insurance broker, was barred from working in the securities industry after failing to respond to inquiries made by the Financial Industry Regulatory Authority. [read post]
28 Sep 2015, 8:08 am
Ahrens received notice of an investigation by the Financial Industry Regulatory Authority (FINRA) for alleged misuse of consolidated reports. [read post]
28 Sep 2015, 3:38 am
Notwithstanding the judicial about-face, where we end still leaves both parties and the Financial Industry Regulatory Authority with lots of egg on their faces. [read post]
27 Sep 2015, 6:21 pm
In addition to regulatory enforcement proceedings, the company faces possible criminal action as well as a host of consumer lawsuits. [read post]
26 Sep 2015, 4:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Cholankeril Jr. [read post]
25 Sep 2015, 6:54 am
Records from the Financial Industry Regulatory Authority (“FINRA”) indicate that Mr. [read post]
25 Sep 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (FINRA AWC No. 2013039506601) broker Gregory Gassoso (Gassoso) on allegations that in April 2013, Gassoso effected three unauthorized transactions in a customer’s account, resulting in a loss of approximately $1,500. [read post]
24 Sep 2015, 3:03 pm
App – Dallas, September 18, 2015), a securities broker and Financial Industry National Regulatory Authority (“FINRA”) member, Esposito, provided a group of customers, Nemaha Water Services, with assistance in locating investors. [read post]
24 Sep 2015, 10:23 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, Matthew P. [read post]
24 Sep 2015, 9:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Scott Sibley (Sibley) has been hit with a large number of customer complaints. [read post]
24 Sep 2015, 8:43 am
In May 2015, the Wall Street Journal reported that the Financial Industry Regulatory Authority (FINRA) fined LPL Financial $11.7 million over failing to properly supervise complicated products such as nontraditional ETFs. [read post]
24 Sep 2015, 6:36 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
Guest Post: Preparing for a Cyber Caremark Lawsuit: Lessons from the Home Depot Derivative Complaint
23 Sep 2015, 4:40 pm
I welcome guest post submissions from responsible authors on topics of interest to readers of this blog. [read post]
