Search for: "Financial Industry Regulatory Authority"
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8 Jul 2015, 4:14 am
In the end, we have a decision, we have multiple awards, but we're left scratching our heads as to how we got from Point A to Point B.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2013, Claimant Stifel Nicolaus alleged that Respondent Sick had breached the terms of a promissory note dated December 9, 2008 ("the Note"). [read post]
6 Jul 2015, 9:30 pm
From defining the scope of financial fraud regulation to expanding the ways agencies may revise interpretations of their own rules, the Supreme Court’s regulatory decisions this term will shape the exercise of governmental authority for years to come. [read post]
6 Jul 2015, 5:08 pm
Increasingly, enforcement authorities are cooperating and collaborating cross-border as well. [read post]
6 Jul 2015, 7:28 am
Instead, FinCEN tries to “clearly explain” the facts and violations that led to an action, which should provide industry guidance. [read post]
6 Jul 2015, 7:10 am
On April 28, 2015, the Department of Enforcement of Financial Industry Regulatory Authority filed a complaint against Mr. [read post]
2 Jul 2015, 11:17 am
In one of the first arbitration awards to be announced in which UBS was ordered to pay $1 million to an investor related to the UBS closed-end bond funds, a Financial Industry Regulatory Authority (FINRA) arbitrator stated that a recommendation of the bond fund was unsuitable because it was “grossly overconcentrated… any proper UBS branch office or other review should have detected such obvious unsuitability. [read post]
1 Jul 2015, 1:50 pm
Leone (“Leone”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
1 Jul 2015, 1:50 pm
Segal has since been barred from the securities industry by the Financial Industry Regulatory Authority. [read post]
1 Jul 2015, 12:34 pm
Daggett (“Daggett”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
1 Jul 2015, 7:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Gardner (Gardner) has been the subject of at least nine customer complaints, one firm termination, and one regulatory action. [read post]
1 Jul 2015, 7:17 am
Morgan Chase’s motion to compel arbitration of putative class and collective claims concerning overtime violations, the Second Circuit ruled that a district court correctly read an arbitration agreement to incorporate Financial Industry Regulatory Authority (FINRA) rules, which bar FINRA arbitrators from hearing class and collective claims. [read post]
1 Jul 2015, 5:44 am
A recent FINRA regulatory settlement demonstrates how the act of signing a loan application by a registered spouse explodes into a potential career-ending disaster.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FIN... [read post]
30 Jun 2015, 8:44 am
The Financial Industry Regulatory Authority (FINRA) brought in $997 million in net revenues, up from $901 million in 2013. [read post]
29 Jun 2015, 6:18 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Kenneth McDonald (McDonald) has been the subject of at least three customer complaints and one regulatory action. [read post]
29 Jun 2015, 3:59 am
Consider this recent case where a firm agreed to enhance its protocol for notifying customers of wiring funds to third parties.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, Scottrade, Inc. [read post]
28 Jun 2015, 8:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Roderick Yzaguirre (Yzaguirre) has been the subject of at least 10 customer complaints and one firm termination. [read post]
26 Jun 2015, 7:30 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Ellwood Jones (Jones) has been the subject of at least four customer complaints. [read post]
25 Jun 2015, 3:02 pm
Absent further regulatory or legislative relief, businesses providing group health plan coverage in 2014 or thereafter also should expect to face similar obligations and exposures. [read post]
25 Jun 2015, 2:41 pm
Shaikh (“Shaikh”) submitted a Letter of Acceptance Waiver and Consent (“AWC”) to settle allegations by the Financial Industry Regulatory Authority (“FINRA”) that they collectively failed to maintain a reasonable supervisory system at E1 Asset Management. [read post]
25 Jun 2015, 6:19 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Bell (Bell) has been the subject of at least 8 customer complaints, two financial disclosures, two firm terminations, and two regulatory actions. [read post]
