Search for: "Financial Industry Regulatory Authority"
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24 Apr 2015, 4:07 pm
Beck”) submitted a Letter of Acceptance Waiver, and Consent (“AWC”) to settle allegations of sales practice violations by the Financial Industry Regulatory Authority (“FINRA”). [read post]
24 Apr 2015, 3:33 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo broker and Miami socialite Aaeon Parthemer for failure to disclose his involvement in various outside businesses. [read post]
24 Apr 2015, 11:46 am
One thing is sure: the Financial Industry Regulatory Authority (FINRA) has barred Aaron Parthemer from associating with any FINRA member broker-dealer in any capacity for violating industry rules by participating in private securities transactions, outside business activities, and for making loans to his clients, according to FINRA Letter of Acceptance, Waiver and Consent No. 2011030405801 (AWC). [read post]
23 Apr 2015, 11:46 am
EDI Financial, Inc. in Irving, Texas has been censured and fined $100,000 by the Financial Industry Regulatory Authority, according to a recent report issued by FINRA. [read post]
22 Apr 2015, 3:14 pm
If you invested with Michael Oppenheim and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call the firm’s Chicago office at 312-238-9650. [read post]
22 Apr 2015, 7:12 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jack McBride (McBride) has been the subject of at least 4 customer complaints over the course of his career. [read post]
22 Apr 2015, 7:12 am
Buck has been associated with Merrill Lynch since 1982 according to Financial Industry Regulatory Authority (FINRA) records and became one of the company’s largest producers. [read post]
22 Apr 2015, 6:35 am
For FINRA, it was a violation.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, David Stephen Kinnear submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Apr 2015, 6:02 am
On March 25, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 (“Exchange Act”) that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association (“Association”), effectively, the Financial… [read post]
21 Apr 2015, 7:12 pm
“With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today issued a report to help broker-dealers assess, craft, or refine their policies and procedures for investors as they prepare for and enter into retirement. [read post]
21 Apr 2015, 5:28 pm
[v] The FTC’s enforcement authority derives principally from the FTC Act. [read post]
21 Apr 2015, 12:58 pm
A government seizure of personal property, according to the panel, is never more than a regulatory act. [read post]
21 Apr 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Daniel Retzke (Retzke) concerning allegations Retzke refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into possible private securities transactions and the soliciting of a loan (also referred to as “selling away”). [read post]
20 Apr 2015, 3:52 am
Although that doesn't necessarily sound like a riveting story, consider the fact that the federal lawsuit under consideration names as one of the Defendants Wall Street's self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA"). [read post]
20 Apr 2015, 3:52 am
Although that doesn't necessarily sound like a riveting story, consider the fact that the federal lawsuit under consideration names as one of the Defendants Wall Street's self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA"). [read post]
20 Apr 2015, 3:51 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration S... [read post]
17 Apr 2015, 3:40 pm
Gallagher addressed the tenuous relationship between global and domestic regulation of the financial industry. [read post]
17 Apr 2015, 10:35 am
The Financial Industry Regulatory Authority (FINRA) announced on March 30, 2015 that it fined H. [read post]
17 Apr 2015, 7:24 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Marriott Claimant asserted breach of fiduciary duty; common law fraud; violation of the Texas Securities Act; violation of the Texas Deceptive Trade Practices Act; and lack of adequate supervision in connection. [read post]
16 Apr 2015, 11:14 am
(collectively “UBS”) for its marketing and sale of closed-end bond funds composed of Puerto Rican municipal debt (the “Puerto Rico Bond Funds”), two former UBS registered representatives, Jorge and Teresa Bravo (collectively, the “Bravos”), are suing the firm in an arbitration before the Financial Industry Regulatory Authority (“FINRA”) for its sales and management practices with respect to the Puerto Rico Bond Funds… [read post]
