Search for: "Financial Industry Regulatory Authority"
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15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to… [read post]
12 Jun 2015, 3:30 pm
In addition, limited partnerships offer extremely high commission fees that are often 3-4x higher than more traditional investments such as stocks or mutual funds Brokerage firms 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]
12 Jun 2015, 6:47 am
Skepticism about regulatory revisions. [read post]
10 Jun 2015, 9:23 am
According to broker Adamson Wright’s (Wright) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that from May 2010 through February 2011, he effected approximately 249 mismarked order tickets as being “unsolicited” orders when the trades were “solicited” causing the firm to maintain inaccurate books and records. [read post]
10 Jun 2015, 8:31 am
The Need for Safety Improvements While the NTSB is not given regulatory authority, it investigates pipeline and transportation accidents. [read post]
10 Jun 2015, 8:31 am
The Need for Safety Improvements While the NTSB is not given regulatory authority, it investigates pipeline and transportation accidents. [read post]
9 Jun 2015, 6:46 am
According the BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) the agency suspended former Global Arena Capital Corp (Global Arena) broker Niaz Elmazi a/k/a Nick Morrisey (Morrisey) concerning allegations that Morrisey failed to respond to FINRA’s requests for information. [read post]
8 Jun 2015, 8:43 am
Speer, co-founder of the Home Shopping Network, has filed a complaint with The Financial Industry Regulatory Authority (FINRA) against Morgan Stanley Wealth Management along with an adviser Ami Forte (Forte) and branch manager Terry McCoy (McCoy) for $400 million. [read post]
8 Jun 2015, 8:42 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Christopher Veale (Veale) has been the subject of at least 12 customer complaints, six judgment and lien of over $1,000,000 and five separate regulatory actions, two investigations by state regulators and one criminal matter involving a felony over the course of his career. [read post]
6 Jun 2015, 10:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Persaud (Persaud) a/k/a Dwarka Persaud has been the subject of at least 5 customer complaints and one regulatory action over the course of his career. [read post]
6 Jun 2015, 6:27 am
Consider the recent regulatory settlement in which a stockbroker thought he had the go-ahead to impersonate his customers during telephone calls.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, Nabil Bouab submitted a Letter o... [read post]
6 Jun 2015, 6:27 am
FINRA certainly called out his name and came running with a fine and suspension.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, Robert J. [read post]
4 Jun 2015, 4:00 am
Very high financial penalties if any turtle is killed? [read post]
3 Jun 2015, 9:52 am
Of course, there are two more sayings that seem to come into play here:No good deed goes unpunished; andThe road to Hell is paved with good deedsCase In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting ... [read post]
2 Jun 2015, 4:51 pm
On May 14, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) filed a complaint (the “Complaint”) against ARI Financial Services, Inc. [read post]
2 Jun 2015, 4:48 pm
On May 28, 2015, the Financial Industry Regulatory Authority (“FINRA”) released its second proposed rule designed to help investors understand what financial incentives their broker may have to transition between member firms and how those transitions could affect the customer’s investments. [read post]
2 Jun 2015, 2:56 pm
The coal industry wants to pretend that climate change isn’t real. [read post]
2 Jun 2015, 8:07 am
A second exception is healthcare industry. [read post]
1 Jun 2015, 8:24 pm
According to Bank Investment Consultant, the Financial Industry Regulatory Authority (FINRA) has expelled Mr. [read post]
1 Jun 2015, 5:34 am
What veteran lawyer Bill Singer sees in this case, however, is an important opportunity to highlight the hidden costs of compliance.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, Eight Pines Securities LLC submitted a Letter of … [read post]
