Search for: "Financial Industry Regulatory Authority"
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2 Sep 2015, 2:28 am
The Financial Industry Regulatory Authority ("FINRA") Rule 3240: Borrowing From or Lending to Customers sets forth the circumstances under which registered persons may lend to or borrow from customers. [read post]
1 Sep 2015, 8:42 pm
Today on world book and copyright day we acknowledge the contributions of creative artists of every kind all over the world especially our local authors. [read post]
1 Sep 2015, 8:42 pm
Today on world book and copyright day we acknowledge the contributions of creative artists of every kind all over the world especially our local authors. [read post]
1 Sep 2015, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2014040633301) broker Tyler Powell (Powell) concerning allegations that Powell exercised discretion in a customer’s account without obtaining prior written authorization from the customer. [read post]
1 Sep 2015, 7:34 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Damian Mamane (Mamane) has been the subject of at least one customer complaint. [read post]
31 Aug 2015, 11:32 pm
She is passionate about researching and writing for diverse industries. [read post]
31 Aug 2015, 5:54 pm
The case was highly anticipated by the data security community generally for its expected ruling on the authority of the Federal Trade Commission to regulate data security standards, but nowhere was the anticipation more keen than in the hospitality industry. [read post]
31 Aug 2015, 9:01 am
Stockbroker Wins Expungement Over AnnuitiesYesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs") switches. [read post]
31 Aug 2015, 8:10 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Armstrong has been the subject of at least three customer complaints, one employment separation, and one criminal matter. [read post]
31 Aug 2015, 3:15 am
Yesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs") switches. [read post]
30 Aug 2015, 9:30 pm
The Workplace Constitution brings to center stage a series of initiatives by civil rights advocates inside and outside of the Kennedy and Johnson administrations to deploy the Spiderman Theory in order to leverage the regulatory authority of the post-New Deal administrative state to bring racial equality to workplaces. [read post]
29 Aug 2015, 3:36 am
This impact applies to a range of investigative work, such as cases involving suspected online child sexual exploitation and abuse, fraud and other financially-motivated crimes, organized crime, requests for international law enforcement assistance, and national security matters involving suspected extremism and other threats to Canada - all of which may require basic identifying information from a telecommunications or other service provider to identify potential evidence for criminal… [read post]
28 Aug 2015, 12:06 pm
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
28 Aug 2015, 11:13 am
Registered with RBC Capital Markets, Fladell has been the subject of multiple investigations, customer disputes and settlements since 1987, according to Financial Industry’s Regulatory Authority (FINRA’s) BrokerCheck. [read post]
28 Aug 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Leonard McAbee (McAbee) has been the subject of at least three customer complaints, one regulatory action, one judgment and/or lien, and one employment separation. [read post]
28 Aug 2015, 4:32 am
Read this recent FINRA settlement.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 is... [read post]
27 Aug 2015, 6:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Notman (Notman) has been the subject to an astonishing 31 customer complaints along with two firm terminations for cause. [read post]
26 Aug 2015, 7:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Peirce (Peirce) has been the subject of at least four customer complaints. [read post]
26 Aug 2015, 7:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Kosanke (Kosanke) has been the subject of at least two customer complaints. [read post]
26 Aug 2015, 7:25 am
Consider this recent FINRA registration settlement.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 Katalyst Securities LLC sub... [read post]
