Search for: "Financial Industry Regulatory Authority"
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26 Aug 2015, 6:28 am
Generally, the investor would bring an arbitration case with the Financial Industry Regulatory Authority (FINRA). [read post]
25 Aug 2015, 10:41 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
25 Aug 2015, 8:24 am
On August 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Rasheed (Richard) Adams (“Adams”), a former broker at Caldwell International Securities Corporation (“CISC”), was barred from the financial services industry for various violations of the securities laws, including, but not limited to, excessive trading and churning in his clients’ accounts and his failure to amend his… [read post]
25 Aug 2015, 7:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert “Rusty” Tweed (Tweed) has been the subject of at least 8 customer complaints and one termination from a brokerage firm for cause. [read post]
24 Aug 2015, 7:16 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2013036262101) broker Sylvester King Jr. [read post]
24 Aug 2015, 7:15 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2010025835701) broker E1 Asset Management, Inc. [read post]
23 Aug 2015, 6:01 am
The authorities are throwing new roadblocks in the way of foreigners seeking to form businesses in China. [read post]
22 Aug 2015, 3:24 am
Consider this recent FINRA settlement.Case In Point For 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... [read post]
21 Aug 2015, 6:07 pm
Employers sponsoring health plans and members of their management named as plan fiduciaries or otherwise having input or oversight over the health plan should verify their company’s group health plan meets the out-of-pocket maximum rules of the Patient Protection and Affordable Care Act (ACA) § 1302(c)(1) as well as a long list of other federal health benefit rules to minimize the risk that violations will obligate the sponsoring employer to self-assess, self-report on IRS Form 8928, and… [read post]
21 Aug 2015, 11:24 am
Employers sponsoring health plans and members of their management named as plan fiduciaries or otherwise having input or oversight over the health plan should verify their company’s group health plan meets the out-of-pocket maximum rules of the Patient Protection and Affordable Care Act (ACA) § 1302(c)(1) as well as a long list of other federal health benefit rules to minimize the risk that violations will compel the sponsoring employer to self-assess, self-report on IRS Form 8928, and… [read post]
20 Aug 2015, 12:22 pm
If so, the White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
20 Aug 2015, 10:54 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
19 Aug 2015, 9:12 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Douglas Bevers (Bevers) has been the subject of at least five customer complaints, two regulatory actions, and one employment separation. [read post]
19 Aug 2015, 11:50 am
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Paul F. [read post]
19 Aug 2015, 9:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Kaplan (Kaplan) has been the subject of at least four customer complaints and one termination. [read post]
19 Aug 2015, 9:56 am
The move came after Voya received guidance from the Financial Industry Regulatory Authority Inc. [read post]
18 Aug 2015, 7:52 pm
In furtherance of these priorities, the EEOC and other federal agencies both have expanded regulatory protections for persons with disabilities and significantly stepped up investigation and enforcement of disability discrimination claims against businesses accused or suspected of discriminating against disabled or other persons protected under federal discrimination laws. [read post]
18 Aug 2015, 11:46 am
As the authors also observed: “For various reasons, including California’s consistently poor business rankings (generally attributed to high regulatory hurdles, CEQA litigation uncertainty, and other tactics), the post-recession resurgence of middle-class manufacturing jobs in the United States has largely bypassed California. [read post]
18 Aug 2015, 10:52 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
18 Aug 2015, 9:40 am
Cindy Foster, the Ombudsperson for the Financial Industry Regulatory Authority, says that 575 constituents contacted her office in 2014, a slight increase compared to the 567 cases received in 2013. [read post]
