Search for: "Financial Industry Regulatory Authority"
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28 Jul 2015, 8:05 am
Stamer’s more than 27 years’ of leading edge work as an practicing attorney, author, lecturer and industry and policy thought leader have resulted in her recognition as a “Top” attorney in employee benefits, labor and employment and health care law. [read post]
28 Jul 2015, 6:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker James Connors (Connors) has been the subject of at least two customer complaints. [read post]
27 Jul 2015, 9:45 pm
With these various considerations in mind, what are we to make of the use of performance measurement systems in the context of governmental entities, in particular regulatory authorities? [read post]
27 Jul 2015, 11:56 am
Employers sponsoring group health plan coverage now or in 2014, check the adequacy of your insurer or third party administrator’s claims and appeals processes and notices. [read post]
27 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Clarence Patton Jr (Patton) has been the subject of at least four customer complaints. [read post]
27 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Peter Girgis (Girgis) has been the subject of at least three customer complaints, several unreported judgement or liens, one employment separation following allegations by his brokerage firm, and two regulatory actions taken by FINRA. [read post]
26 Jul 2015, 9:30 pm
Aviation is a global business, so the CAA liaises with the European authority as well as the global authority in Montreal. [read post]
25 Jul 2015, 7:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Frederick Monroe (Monroe) has been the subject of at least three customer complaints alleging that the broker misappropriated funds. [read post]
24 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Christopher Orlando (Orlando) has been the subject of at least two customer complaints, and one judgement or lien. [read post]
24 Jul 2015, 6:01 am
” According to records kept by The Financial Industry Regulatory Authority (FINRA), Buck now has 10 listed customer complaints against him nine of which came within months of Buck’s termination. [read post]
23 Jul 2015, 4:34 pm
Brokers that sell REITs have a fiduciary duty to make sure the investment is suitable for every individual client and must take into account the clients age, risk tolerance, financial needs, and investment objections to name a few of the suitability requirements enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2015, 8:43 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Debra Lyman (Lyman) concerning allegations that between January 2013 through November 2013 Lyman engaged in unauthorized or discretionary trading in six client accounts without proper written permission. [read post]
22 Jul 2015, 6:28 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned supervisor Gregory Bray (Bray) concerning allegations that Bray failed to adequately supervise the firm’s chief executive officer and compliance officer Matt Maberry (Maberry), who FINRA refers to by the initials “MM”, concerning sales of certain complex products and recommendations of Class A mutual fund shares. [read post]
22 Jul 2015, 6:26 am
. / Rock Creek Pharmaceuticals (Star Scientific) on the heels of a Financial Industry Regulatory Authority (FINRA) investigation into alleged false and misleading research reports issued by Oits Bradley (Bradley) presumably made about the company. [read post]
21 Jul 2015, 9:30 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) is one of the most significant regulatory reforms in the financial industry since the passing of the Securities Acts of 1933 and 1934, which instituted thorough registration and reporting requirements for publically traded companies in the wake of the Great Depression. [read post]
21 Jul 2015, 10:59 am
On July 9, 2015, the Consumer Financial Protection Bureau (CFPB) issued a set of “consumer protection principles” for the financial industry as it develops new, faster payment processing systems. [read post]
21 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred David Chu (Chu) concerning allegations Chu refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities and private securities transactions. [read post]
21 Jul 2015, 6:58 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Nigel James (James) has been the subject of at least five customer complaints and one financial matter. [read post]
21 Jul 2015, 6:13 am
On June 23rd, the UK’s Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) [1] finalized a joint bonus compensation rule that was proposed last July. [read post]
20 Jul 2015, 6:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Fera Shivaee (Shivaee) has been the subject of at least two customer complaints. [read post]
