Search for: "Financial Industry Regulatory Authority"
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15 Apr 2015, 7:50 am
Currently, the privilege and confidentiality protections only apply to information shared with state and federal regulatory officials with mortgage industry oversight authority. [read post]
15 Apr 2015, 7:06 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Raymond Schmidt (Schmidt) due to Schmidt’s refusal to respond to requests made by the agency. [read post]
14 Apr 2015, 4:50 pm
I welcome guest post contributions from responsible authors on topics of interest to readers of this site. [read post]
14 Apr 2015, 11:49 am
The Financial Industry Regulatory Authority (FINRA) announced on March 26, 2015 that it fined Oppenheimer & Co., Inc. for failing to supervise Mark Hotton, a former broker who allegedly stole money from his clients accounts and excessively traded their accounts. [read post]
14 Apr 2015, 6:46 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Tedeschi (Tedeschi) has been the subject of at least 6 customer complaints, one judgment and lien over the course of his career. [read post]
14 Apr 2015, 5:53 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Clamant Ishii Family Trust asserted breach of fiduciary duty; failure to supervise; negligent misrepresentation; and respondeat superior in connection with Respondents Chan and Sagepoint Financial's alleged failure to purchase securities, among which were Apple, Goldman Sachs, Berkshire Hathaway, Kinder Morgan Energy, Ford and… [read post]
13 Apr 2015, 4:22 am
Health Industry Targeted: The health industry (including pharmaceuticals, medical devices and health services) again had the highest number of securities class action lawsuits. 44 of the 2014 securities suits involved companies in the health industry, representing 26% of all securities suit filings during the year, compared to 36 (23%) in 2013. [read post]
12 Apr 2015, 1:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Barry Hartman (Hartman) was terminated by the firm due to alleged violation of firm policies including the participation in undisclosed outside business activities and private securities transactions, known as “selling away” in the industry. [read post]
10 Apr 2015, 6:14 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Brian Exford (Exford) concerning allegations Exford refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into possible private securities transactions (also referred to as “selling away”). [read post]
10 Apr 2015, 6:14 am
Recently, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred Anderson’s supervisor Terry Bagwell (Bagwell) in all supervisory capacities. [read post]
8 Apr 2015, 11:03 pm
In other countries, authorities point to international standards (e.g. [read post]
8 Apr 2015, 7:07 pm
Nothing in this definition makes it “inherent” that USCIS must compare workers in the particular industry. [read post]
8 Apr 2015, 3:17 pm
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Michael Korson (Korson) concerning allegations that from February 2011 through August 2012, Korson failed to disclose to PFS Investments, Inc. [read post]
8 Apr 2015, 9:00 am
A great example, from an earlier paper by other authors that this one mentions, is evidence that, in Russia, companies whose executives paid bribes to avoid traffic tickets suffered from greater looting by insiders than randomly selected Russian companies.4) Presumably, an across-the-board cultural trait of lesser aggressiveness, and hence greater trustworthiness where CEO or company behavior cannot be perfectly observed, might have greater value in some types of industries… [read post]
7 Apr 2015, 9:30 pm
In the UK, the Financial Conduct Agency (FCA), which regulates retail and wholesale financial service firms, introduced new rules last year to govern the burgeoning £1bn crowdfunding industry. [read post]
7 Apr 2015, 5:22 pm
The Financial Industry Regulatory Authority (FINRA) recently barred broker Josh Abernathy (Abernathy) due to Abernathy’s refusal to respond to requests made by the agency. [read post]
7 Apr 2015, 5:20 am
This ruling directly impacts employers within the financial industry who are located or have employees living in these four states. [read post]
7 Apr 2015, 5:20 am
This ruling directly impacts employers within the financial industry who are located or have employees living in these four states. [read post]
6 Apr 2015, 6:23 pm
On March 30, 2015, the Financial Industry Regulatory Authority (“FINRA”) barred broker Anthony “Tony” Warren Thompson (“Thompson”) and expelled his firm, TNP Securities LLC (“TNP Securities”), for making material misrepresentations and omissions in connection with the sale of private placement securities in violation of various FINRA Rules and securities laws. [read post]
6 Apr 2015, 6:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Gioe (Gioe) has been the subject of at least 11 customer complaints, one judgment and lien of over $197,000, and one regulatory action over the course of his career. [read post]
