Search for: "Financial Industry Regulatory Authority"
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13 Jul 2023, 12:22 pm
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, reportedly filed a complaint against broker Eugene H. [read post]
11 Jul 2023, 11:19 am
FINRA Bars Advisor David Geake after 25 Complaints The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, has reportedly barred financial advisor David Geake after alleged broker misconduct. [read post]
11 Jul 2023, 11:15 am
Key recommendations The outcome report sets out a series of recommendations to the government, the Financial Conduct Authority (FCA) and industry. [read post]
11 Jul 2023, 11:12 am
Merrill Lynch agreed to pay a $6 million penalty to settle the SEC charges and, in a parallel action, Merrill Lynch agreed to pay a separate $6 million fine to settle charges brought by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jul 2023, 3:36 am
In this episode of The Geek in Review podcast, host Marlene Gebauer and co-host Greg Lambert discuss cybersecurity challenges with guests Jordan Ellington, founder of SessionGuardian, Oren Leib, Vice President of Growth and Partnership at SessionGuardian, and Trisha Sircar, partner and chief privacy officer at Katten Muchin Rosenman LLP. [read post]
10 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
AUKUS Is More Than Submarines: Its Advanced Capabilities Pillar Will Also Require Fundamental Shifts
10 Jul 2023, 8:00 pm
Western defense and technology industries, long accustomed to free-market competition without limits, should be encouraged to think more about cooperation with industries in like-minded countries. [read post]
AUKUS Is More Than Submarines: Its Advanced Capabilities Pillar Will Also Require Fundamental Shifts
10 Jul 2023, 8:00 pm
Western defense and technology industries, long accustomed to free-market competition without limits, should be encouraged to think more about cooperation with industries in like-minded countries. [read post]
10 Jul 2023, 3:56 pm
Sultan walks us through the wreckage of the American cryptocurrency industry, pausing to note the executive exodus from Binance and the end of the view that cryptocurrency could be squared with U.S. regulatory authorities. [read post]
10 Jul 2023, 9:27 am
Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended financial advisor John Hoidas for 18 months and fined him $40,000 after numerous customers alleged unsuitable investment recommendations. [read post]
10 Jul 2023, 8:26 am
Kovalsky co-authored, “Emerging ‘Securities’ Litigation in Cryptocurrency. [read post]
7 Jul 2023, 9:05 pm
State policies also contain regulatory exemptions. [read post]
7 Jul 2023, 2:13 pm
Efforts to combat healthcare fraud in Texas require collaboration among individuals, healthcare providers, law enforcement agencies, and regulatory bodies. [read post]
7 Jul 2023, 1:28 pm
Attorney’s Office for the District of New Jersey, Financial Industry Regulatory Authority, Army Criminal Investigation Division, Defense Criminal Investigative Service, FBI, and Homeland Security Investigations. [read post]
7 Jul 2023, 1:24 pm
According to the SEC, the transactions were reportedly not authorized by any of his clients or customers, some of whom were “elderly and financially unsophisticated. [read post]
7 Jul 2023, 12:53 pm
FINRA Bars Advisor Helen Caldwell after Allegations of Outside Business Activities The Financial Industry Regulatory Authority, the regulator who oversees brokers and brokerage firms, has reportedly barred financial advisor Helen Caldwell from the securities industry as of July 6, 2023. [read post]
5 Jul 2023, 8:33 am
New guidance on the trading venue perimeter In PS23/11, the FCA has set out new guidance on the regulatory perimeter for trading venues. [read post]
5 Jul 2023, 6:56 am
” Utility Air Regulatory Group v. [read post]
30 Jun 2023, 12:04 pm
A specified hierarchy or authority structure. [read post]
30 Jun 2023, 10:15 am
FINRA Bars Wedbush Broker Jonathan Walter Way after Allegations of Sales Practice Violations On June 26, 2023, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Jonathan Walter Way (CRD#: 1126849) from the securities industry. [read post]
