Search for: "Financial Industry Regulatory Authority"
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31 May 2015, 7:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick McGrath (McGrath) has been the subject of at least four customer complaints, two regulatory actions, and one termination over the course of his career. [read post]
29 May 2015, 6:05 am
All in all, an excellent bit of regulation with some helpful warnings to both the industry and unwary investors.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, Broker Dealer Financial Services Corp., submi... [read post]
28 May 2015, 7:49 am
For example, in expressing concerns over the effects of these state laws, the Financial Industry Regulatory Authority (FINRA) noted that its Regulatory Notices 10-06 and 11-39 provide that securities firms must establish procedures to review registered representatives’ written and electronic business correspondence, including interactive electronic communications that the firm or its personnel send through social media sites. [read post]
28 May 2015, 4:00 am
Applying the industry average of 25 errors per 1,000 lines of software code, there are potentially 1,344 defects in that code. [read post]
28 May 2015, 3:24 am
A recent FINRA regulatory settlement involving a trip to the bathroom and a forgotten laptop perfectly illustrates this challenge.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, Sterne, Agee & Leach, Inc., submitted a … [read post]
27 May 2015, 9:30 pm
America’s financial regulatory system developed piecemeal. [read post]
27 May 2015, 3:36 am
The live sector remains strong, although research suggests small venues are under considerable pressure, both financially and regulatory. [read post]
26 May 2015, 2:50 pm
In Switzerland, a fund can be marketed to qualified investors without registering with the Swiss Financial Market Authority (“FINMA”). [read post]
26 May 2015, 2:50 pm
In Switzerland, a fund can be marketed to qualified investors without registering with the Swiss Financial Market Authority (“FINMA”). [read post]
26 May 2015, 11:32 am
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
26 May 2015, 9:59 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. [read post]
26 May 2015, 9:51 am
Authorizing zero-day disclosures may enable identity theft, financial fraud, and other serious threats. [read post]
26 May 2015, 2:14 am
In a recent regulatory settlement, we have the case of a aspirant to a career on Wall Street who needed just a little more support than the rules required -- sadly, that crutch cracked and the person leaning on it crashed to the ground.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 ... [read post]
26 May 2015, 2:13 am
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, Adam Robert Bollinger submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 May 2015, 3:45 am
Consider this recent case in which the use of a personal email address and personal investments becomes a regulatory issue for FINRA.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, Philip Tavella submitted a Letter of Acceptance,… [read post]
21 May 2015, 2:15 pm
The Financial Industry Regulatory Authority’s (FINRA’s) National Adjudicatory Council (NAC) released updated Sanction Guidelines on May 12, 2015, for use in adjudicating disciplinary proceedings involving FINRA member firms and associated brokers. [read post]
21 May 2015, 11:09 am
The Financial Industry Regulatory Authority (FINRA) recently fined BDFS $75,000 for 1. failing to properly supervise the sale of leveraged ETFs to its customers, 2. not properly training its sales force about the appropriate use of leveraged ETFs in customer accounts, and 3. not adequately supervising nontraditional ETF activity in customer accounts. [read post]
21 May 2015, 5:00 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) might not watch over the galaxy, but both agencies carefully monitor and scrutinize the conduct of CCOs and in-house counsel. [read post]
19 May 2015, 1:19 pm
These duties stem from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), as well as both state and federal laws. [read post]
19 May 2015, 11:00 am
(LinkedIn Jobs.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report. [read post]
