Search for: "Financial Industry Regulatory Authority"
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5 Apr 2015, 9:30 pm
Congress and the President have a much more politically feasible option: pass a law giving federal agencies authority to harmonize their rules and regulatory activities. [read post]
5 Apr 2015, 7:39 am
In the end it's all somewhat entertaining, even if no clear winner emerges.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012 and as amended thereafter, Claimant Cassese asserted breach of contract, misrepresentations, failure to pay commissions, assessment of fraudulent, unnecessary, and inflated fees, and illegal wage deductions compensation under New York State Lab... [read post]
3 Apr 2015, 3:31 pm
According to InvestmentNews, the Financial Industry Regulatory Authority(FINRA) has barred Tony Thompson from the securities industry and expelled TNP Securities. [read post]
3 Apr 2015, 6:42 am
According to The Financial Industry Regulatory Authority (FINRA) BrokerCheck records Baccam was registered with brokerage firm Centaurus Financial, Inc. [read post]
2 Apr 2015, 8:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Smith (Smith) concerning allegations that between October 2009 and January 2013, Smith mismarked as unsolicited order tickets for thousands of trades that were actually solicited by the broker. [read post]
2 Apr 2015, 6:59 am
As you will learn, he did one really foolish thing that persuaded FINRA to bar him.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 Charles Mangold submitted a Letter of Accep... [read post]
1 Apr 2015, 1:22 pm
The Financial Industry Regulatory Authority (FINRA) recently imposed a hefty fine on the broker dealer, Oppenheimer & Co. [read post]
1 Apr 2015, 8:05 am
A second theme is its undermining certain regulatory regimes. [read post]
1 Apr 2015, 7:03 am
Q: will there be regulatory forbearance? [read post]
1 Apr 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm EDI Financial, Inc. [read post]
31 Mar 2015, 2:11 pm
According to the Financial Industry Regulatory Authority (FINRA), a stockbroker is “a person or company that is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customers (as broker) for its own account (as dealer), or both. [read post]
31 Mar 2015, 6:27 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Foothill Securities, Inc. [read post]
30 Mar 2015, 3:06 pm
Corrections are also welcome, since I’m no expert in the interpretation of bureaucratic financial and planning reports.The inclusion of the Supreme Court of Canada is a result of the published statement of the retired Chairman of the Copyright Board (William Vancise) in 2006 shortly after his appointment:I am not at all happy with the time it takes to render a final decision. [read post]
30 Mar 2015, 12:25 pm
According to reports, the Financial Industry Regulatory Authority Inc. [read post]
30 Mar 2015, 6:36 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Marcus Debaise (Debaise) has been the subject of at least 14 different customer complaints over the course of his career. [read post]
30 Mar 2015, 4:00 am
To solve the problem a different management structure is needed for, or in place of law societies Because Canada’s law societies have not attempted to solve the unaffordable legal services problem, the following are the consequences: – there is no published law society text that accurately describes the problem as do those who have analyzed the problem in depth: “the majority of the population cannot obtain legal services at reasonable cost” (see footnote 3 and accompanying… [read post]
27 Mar 2015, 2:16 pm
(“World Equity”), a broker-dealer, submitted a Letter of Acceptance Waiver and Consent (“AWC”) wherein it agreed to a censure and a $225,000 fine to settle allegations of violations of federal securities law as well as National Association of Securities Dealers (“NASD”) and Financial Industry Regulatory Authority, Inc. [read post]
27 Mar 2015, 10:16 am
On March 25, 2015, the SEC unanimously approved a plan requiring that rapid-fire trading firms register with the Financial Industry Regulatory Authority (“FINRA”). [read post]
27 Mar 2015, 7:07 am
As we reported, The Financial Industry Regulatory Authority (FINRA) sanctioned Popular Securities, Inc. [read post]
27 Mar 2015, 6:28 am
We will be sharing industry’s reaction to the proposals as well as our thoughts in additional blog posts. [read post]
