Search for: "Financial Industry Regulatory Authority"
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5 Aug 2015, 2:06 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Robert Michael Diehl. [read post]
5 Aug 2015, 10:53 am
See what went down.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 wi... [read post]
5 Aug 2015, 8:42 am
The Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim under consideration today was filed in 2008. [read post]
4 Aug 2015, 4:35 am
Case In PointJorge Daniel Usandivaras filed a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013. [read post]
3 Aug 2015, 2:27 pm
The Financial Industry Regulatory Authority barred Chun from working in the industry last August. [read post]
3 Aug 2015, 7:35 am
However, on June 25, the SEC stated until there is an effective date of a Financial Industry Regulatory Authority (FINRA) pay-to-play rule or an effective date of a Municipal Securities Rulemaking Board (MSRB) pay-to-play rule, whichever is later, the Division of Investment Management would not recommend enforcement action to the SEC against an investment adviser or its covered associates under rule 206(4)-5(a)(2)(i) for the payment to any person to solicit a… [read post]
3 Aug 2015, 6:17 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Delguercio (Delguercio) has been the subject of at least eight customer complaints, two financial matters, and one employment separation. [read post]
31 Jul 2015, 2:58 pm
According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
31 Jul 2015, 5:33 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Garyn Angel (Angel) has been sanctioned by the regulator in connection with allegations that Angel participated in two private securities transactions without providing prior written notice to his employing member firm, a practice referred to in the industry as selling away. [read post]
31 Jul 2015, 5:33 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Duane Smith (Smith) has been the subject of at least two customer complaint and one employment separation. [read post]
31 Jul 2015, 4:00 am
The Government of Ontario’s 2014 budget increased Legal Aid Ontario’s financial eligibility funding of legal services by $95.7 million over the next three years. [read post]
30 Jul 2015, 3:01 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. [read post]
30 Jul 2015, 5:40 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker George Lincoln (Lincoln) has been the subject of at least three customer complaints, one regulatory action, and one employment separation. [read post]
30 Jul 2015, 5:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jason Klabal (Klabal) has been the subject of at least eight customer complaints six of which have been filed since 2014. [read post]
29 Jul 2015, 2:53 pm
According to a Letter of Acceptance Waiver and Consent filed with the Financial Industry Regulatory Authority (“FINRA”), Thomas Buck has been barred by FINRA from working with any FINRA member firms. [read post]
29 Jul 2015, 8:19 am
Also, there is an interesting issue involving whether a proposed expert was conflict and otherwise disqualified from testifying.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2012, Claimants causes of action included suitability, unauthorized trading, and churning in connection with Respondents' alleged mismanagement of Claimants' accounts. [read post]
29 Jul 2015, 7:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Anthony Pace (Pace) has been the subject of at least six customer complaints and one employment seperation. [read post]
29 Jul 2015, 7:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Homer Vining (Vining) has been the subject of at least one customer complaint and three regulatory actions. [read post]
28 Jul 2015, 2:52 pm
Broker dealers that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
28 Jul 2015, 1:34 pm
The Court concluded its opinion by stating that, “Judicial review of administrative action is the norm in our legal system, and nothing in Title VII withdraws the courts’ authority to determine whether the EEOC has fulfilled its duty to attempt conciliation of claims”. [read post]
