Search for: "Financial Industry Regulatory Authority"
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15 Mar 2015, 5:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that Melzer participated in four private securities transactions when four of his Wells Fargo Advisors, LLC (Wells Fargo) customers invested $2,000,000 in a company called Aquatic Synthesis Unlimited (Aquatic Synthesis) through investment contracts that were not approved by Wells Fargo. [read post]
13 Mar 2015, 11:50 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Brookville Capital Partners LLC, based in Uniondale, NY, to pay full restitution of more than $1 million to victims and fined the firm $500,000 for fraud in connection with sales of a private placement offering. [read post]
13 Mar 2015, 9:57 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
12 Mar 2015, 6:45 am
LPL Financial LLC (LPL) has terminated its former broker Charles Fackrell (Fackrell), registered with The Financial Industry Regulatory Authority (FINRA), alleging that the broker engaged in unapproved private securities transactions (known in the industry as “selling away”) and also due to a felony arrest for obtaining property under false pretenses. [read post]
11 Mar 2015, 2:06 pm
This type of business is known as an outside business activity and is heavily regulated by both the SEC and the Financial Industry Regulatory Authority, Inc. [read post]
11 Mar 2015, 7:05 am
Among them: employees “in the financial service industry,” provided they satisfy the exemption’s duties requirement. [read post]
10 Mar 2015, 1:18 pm
Justice Alito continues: Even the United States accepts that Congress “cannot delegate regulatory authority to a private entity. [read post]
10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
9 Mar 2015, 9:33 am
If this is the case, the investor would most likely have to go through arbitration by filing a claim with the Financial Industry Regulatory Authority (FINRA) to attempt to recover lost investments. [read post]
9 Mar 2015, 7:46 am
As previously reported by Gana LLP, the Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) barred broker Eric Johnson (Johnson) concerning allegations that he misappropriated more than $1,000,000 from at least six firm customers’ brokerage accounts. [read post]
9 Mar 2015, 3:28 am
In recent years, one of the favored responses of legislative reformers and regulatory enforcement authorities to financial fraud and other corporate misconduct has been the encouragement of whistleblowing activity. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, Citigroup Global Markets, Inc. [read post]
6 Mar 2015, 10:23 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Allen Green (Green) concerning allegations that Green violated FINRA’s suitability rule by making unsuitable recommendations to a disabled customer, and also by having no reasonable basis to recommend non-traditional exchange traded funds (Non-traditional ETFs) to his customers. [read post]
6 Mar 2015, 7:05 am
American Eagle Energy’s first-lien bonds, which are secured by its assets, fell 10.25 cents to 31.75 cents on the dollar at 4:23 p.m. in New York, according to Trace, the bond-price reporting system of the Financial Industry Regulatory Authority. [read post]
5 Mar 2015, 6:12 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Gregg Beemer (Beemer) concerning allegations that Beemer engage in outside business activities including the sales of private securities. [read post]
5 Mar 2015, 4:51 am
Todays’ BrokeAndBroker.com Blog is less about the facts in an underlying Financial Industry Regulatory Authority ("FINRA") regulatory case and more an examination of the mechanism by which the self-regulatory organization's ("SRO's") Bar is “stayed” pending an appeal to the ;Securities and Exchange Commission ("SEC"). [read post]
5 Mar 2015, 3:39 am
Employers now provide only a small percentage (about 20%) of the overall financial cost of workplace injuries and illnesses through workers’ compensation. [read post]
4 Mar 2015, 5:34 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]
4 Mar 2015, 2:00 pm
This issue has received recent attention by Financial Industry Regulatory Authority (“FINRA”) enforcement, as well as by the SEC’s Office of Compliance Inspections and Examinations. [read post]
4 Mar 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Blasik (Blasik) concerning allegations that Blasik engage in outside business activities. [read post]
