Search for: "Financial Industry Regulatory Authority"
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27 Jul 2020, 3:23 pm
The CFPB has announced that it plans to issue an advance notice of proposed rulemaking (ANPR) later this year on consumer-authorized access to financial records. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
15 Jul 2010, 9:26 am
An influx of stockbroker fraud lawsuits and regulatory investigations has prompted the Financial Industry Regulatory Authority (FINRA) to significantly expand the information it provides through its BrokerCheck Web site. [read post]
21 Sep 2015, 9:30 pm
Attorney General issued guidance in 2013 explaining that federal authorities will not prioritize punishing financial institutions working with state-level marijuana industries. [read post]
8 Oct 2009, 12:19 pm
The Financial Industry Regulatory Authority (FINRA) is a private regulatory body charged with protecting investors and keeping an eye on the financial industry. [read post]
14 Sep 2018, 1:35 pm
Downing (Bill Downing) – JW Cole – Securities Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred William G. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
18 Mar 2015, 4:05 pm
According to the Sun Sentinel, former broker Aaron Nash Kazinec has been banned from the industry by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jul 2019, 12:12 pm
FINRA Sanctions Woodbury Financial Services for Variable Annuities Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Woodbury Financial Services (CRD #421, Oakdale, Minnesota) on May 13, 2019. [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
12 Sep 2019, 1:06 am
A few years ago, it appears that the Financial Industry Regulatory Authority was attempting to make an omelet in 2016 and 2017 when it appointed Stephen M. [read post]
20 Nov 2020, 1:28 pm
July 2019 The Financial Industry Regulatory Authority (FINRA) censured and fined Aegis Capital Corp. [read post]
19 Dec 2016, 7:56 am
The Financial Industry Regulatory Authority Inc. on Thursday hit Allstate Financial Services with $1 million dollar fine for a breakdown of the firm’s failure to supervise information. [read post]
11 Dec 2017, 7:57 am
Glaser for Alleged Private Securities Sales According to The Financial Industry Regulatory Authority, on September 5, 2017, William A. [read post]
28 Sep 2011, 2:00 am
Here is an excerpt: Introduction The UK Government will be pushing ahead with its plans to reform the financial regulatory system in the United Kingdom in line with its initial proposals.[1] In addition to the white paper, the regulatory approaches to be adopted by the Prudential Regulation Authority (the “PRA”) and Financial Conduct Authority (the “FCA”) have been further detailed in two subsequent papers.… [read post]
6 Feb 2016, 11:43 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marshall Cassedy (Cassedy). [read post]
26 Mar 2014, 6:00 am
Sacks is a partner in the Financial Institutions Advisory & Financial Regulatory Group at Shearman & Sterling LLP. [read post]
31 May 2011, 6:26 am
The Financial Industry Regulatory Authority has hit Credit Suisse Securities LLC with a $4.5 million fine and Merrill Lynch with a $3 million fine for not properly representing data and supervising the residential subprime mortgage securitizations they sold.The fines, which were announced by independent regulator FINRA on Thursday, were for improper handling that took place at the firms in 2006 [read post]
