Search for: "Financial Industry Regulatory Authority"
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26 Mar 2015, 9:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Jerry Chancy (Chancy) concerning allegations that Chancy potentially engage in outside business activities and/or the sales of private securities. [read post]
26 Mar 2015, 8:45 am
Stamer has more than 26 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
26 Mar 2015, 7:12 am
Earlier this month the UK’s financial services regulator, the Financial Conduct Authority (FCA), issued its final guidance on financial promotions made via social media channels. [read post]
26 Mar 2015, 6:20 am
Assistance in compliance with non-tax regulatory issues such as stock exchanges is also a function. [read post]
25 Mar 2015, 7:51 am
Koogler The Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s FINRA Rule 2040, which will permit the payment of compensation, fees, concessions, discounts, commissions or other allowances to unregistered persons if a member firm determines the activities of the unregistered person in question do not require registration as a broker-dealer. [read post]
25 Mar 2015, 7:48 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,without an ... [read post]
24 Mar 2015, 6:12 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Ted Cadwallader (Cadwallader) concerning allegations that Cadwallader engage in outside business activities including the sales of private securities. [read post]
23 Mar 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Darnell Deans (Deans) concerning allegations that while associated with Garden State Securities, Inc. [read post]
23 Mar 2015, 5:33 am
Today's BrokeAndBroker.com Blog examines the ensuing regulatory settlement involving her failed disclosure.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, Deborah S. [read post]
23 Mar 2015, 4:17 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, Raymond Sardina submitted a Letter of A... [read post]
22 Mar 2015, 3:07 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Mar 2015, 6:26 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Mar 2015, 7:14 am
This post continues our firm’s investigation concerning the recent allegations brought by The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm World Equity Group, Inc. [read post]
19 Mar 2015, 3:58 pm
The Financial Industry Regulatory Authority (FINRA), a private organization that regulates its member companies, had investigated and sanctioned Legent several times in the previous two years. [read post]
18 Mar 2015, 4:05 pm
According to the Sun Sentinel, former broker Aaron Nash Kazinec has been banned from the industry by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Mar 2015, 6:19 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm World Equity Group, Inc. [read post]
18 Mar 2015, 2:44 am
According to the report, independent music venues in the UK are operating under significant pressures, both financially and regulatory. [read post]
17 Mar 2015, 6:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm World Equity Group, Inc. [read post]
16 Mar 2015, 4:01 am
The outcome may surprise you.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant Merrill Lynch asserted breach of promissory note and unjust enrichment in connection with a promissory note executed by former employee Respondent Espin... [read post]
15 Mar 2015, 7:16 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against broker Chris Fulco (Fulco) concerning allegations that Fulco facilitated the sale of stock in US Coal Corporation, Inc. [read post]
