Search for: "Financial Industry Regulatory Authority"
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20 Jul 2015, 3:16 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FI... [read post]
20 Jul 2015, 3:15 am
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 regulatory hearing, and without an adjudication of any issue NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 Jul 2015, 3:15 am
Sometimes ya just can't keep all the balls in the air.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 without an adjudication of any issue, Charles H. [read post]
20 Jul 2015, 3:15 am
Not so much a lawsuit and an appeal as an ordeal and an odyssey through the legal system.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2011 and amended thereafter, Claimants Morga... [read post]
20 Jul 2015, 3:15 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2014, Claimant Gatens asserted causes of action including breach of written employment agreement, unlawful withholding of wages and retaliation; and fraud. [read post]
17 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority ("FINRA) recently announced a regulatory settlement involving a member firm that sort of got it right. [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
Steptoe Cyberlaw Podcast, Episode #75: Hip Hop Summit at Graceland---Michael Casey and Digital Money
15 Jul 2015, 1:33 pm
With comments due on July 20, security companies are beginning to identify a host of unintended regulatory consequences. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
15 Jul 2015, 6:14 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Leonard Tanner (Tanner) concerning allegations between October 2010, and January 2014, Tanner executed discretionary transactions in approximately 90 accounts of customers under a verbal authorization but without prior written authorization from those customers or approval of his brokerage firm City Securities Corporation (City Securities). [read post]
13 Jul 2015, 6:25 am
According to Montgomery’s BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), the broker has three customer complaints, two of which involve allegations Montgomery solicited an unregistered investment away from the firm and made misrepresentations. [read post]
13 Jul 2015, 5:50 am
Now don't get me wrong, it's not especially unusual for a firm to sue a customer over margin; but in the arbitration presented here, the brokerage firm is not in the role of the Claimant.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2014, three associated persons alleged that public customer Wijk had failed to repay a debit balance that purportedly arose after he had… [read post]
12 Jul 2015, 7:08 pm
Citizenship and Immigration Services, the Financial Industry Regulatory Authority, the Hong Kong Securities and Futures Commission, and the China Securities Regulatory Commission.Read the full SEC complaint here: http://tinyurl.com/pzbzjeo [read post]
12 Jul 2015, 10:44 am
But this example and many others merely show that the IARC and the regulatory world are robust for group think. [read post]
11 Jul 2015, 2:14 pm
The heavy reliance by group health plans and health insurers upon internet based applications and portals to carry out online enrollment, claims administration and payment, reporting and a host of other key health plan functions makes it particularly important for health plans, their employer or other sponsors, fiduciaries, vendors, and other involved in health plan administration or using or accessing health plan data to verify and ensure the internet data sharing and other applications and portals… [read post]
10 Jul 2015, 11:45 am
On July 1, 2015, the Financial Industry Regulatory Authority (FINRA) accepted settlement offers from brokers Jonah Engler, Hector Perez, Jonathan Michael Sheklow and Joshua William Turney for their roles in selling fraudulent investments to 59 customers. [read post]
10 Jul 2015, 5:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Blake (Blake) has been the subject of at least six customer complaints, one criminal activity, and three regulatory actions. [read post]
9 Jul 2015, 6:43 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined Broker Dealer Financial Services Corp. [read post]
9 Jul 2015, 3:48 am
You may have seen some of the recent television ads for the Financial Industry Regulatory Authority's ("FINRA") online disclosure website BrokerCheck.As noted on the self-regulatory organization's "About BrokerCheck" website page:BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. [read post]
8 Jul 2015, 4:47 am
On April 27, 2015, the Financial Industry Regulatory Authority (FINRA) published a Letter of Acceptance, Waiver, and Consent (AWC), whereby Larry M. [read post]
