Search for: "Financial Industry Regulatory Authority"
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3 Mar 2015, 10:26 am
For Advice, Training & Other Resources Should your business need legal advice about the taxability of or other requirements on tips, gratuities or other compensation, assistance assessing or resolving potential past or existing compliance exposures, or monitoring and responding to these or other workforce, benefits and compensation, performance and risk management, compliance, enforcement or management concerns, the author of this update, attorney… [read post]
3 Mar 2015, 7:38 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Cary Olson (Olson) concerning allegations that Olson made recommendations in non-traditional exchange-traded funds (ETFs) to several customers without having reasonable grounds to believe his recommendations were suitable in relation to the holding periods for the ETFs. [read post]
3 Mar 2015, 2:52 am
In the end, it seems more of a fizzle than fizz but you be the judge.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, former employee Claimant Miller asserted libel per se; and quantum meruit and unjust enrichment relating to his retention bonuses, deferred compensation, and r... [read post]
2 Mar 2015, 10:19 am
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]
2 Mar 2015, 8:21 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, Terry Joe Bagw... [read post]
2 Mar 2015, 7:00 am
Moreover, the sector has grown at double-digit rates in each of the past five years apart from 2009 when the global financial crisis slowed progress in the sector to 8.2%. [read post]
2 Mar 2015, 6:06 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Stephen Dealy (Dealy) concerning allegations that Dealy willfully failed to timely amend his Form U4 to disclose a federal tax lien. [read post]
27 Feb 2015, 6:41 am
According to the records kept by the Financial Industry Regulatory Authority (FINRA) broker Wade Lawrence (Lawrence) has been suspended following the broker’s failure to comply with an arbitration award or settlement and by failing to comply with the regulator’s request for information concerning compliance. [read post]
27 Feb 2015, 6:41 am
The Financial Industry Regulatory Authority (FINRA) filed a complaint against broker Daniel McCourt (McCourt) concerning allegations McCourt participated in private securities transactions, also known as “selling away”, without providing prior written notice to his member firm. [read post]
26 Feb 2015, 1:20 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]
26 Feb 2015, 6:39 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marc Evans (Evans) concerning allegations that between October 2006 and October 2012, Evans participated in private securities transactions, also referred to as “selling away”, without prior approval of his brokerage firm. [read post]
26 Feb 2015, 6:39 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Douglas Campbell Jr. [read post]
25 Feb 2015, 6:41 am
Contrary to the employer’s contention, Financial Industry Regulatory Activity (FINRA) rules could serve as the basis of a clearly mandated public policy under Missouri law. [read post]
24 Feb 2015, 1:47 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond Ja... [read post]
23 Feb 2015, 3:09 pm
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
22 Feb 2015, 9:35 am
” See also – PWC Global State of Information Security Survey: 2015 results by industry [read post]
20 Feb 2015, 3:19 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
19 Feb 2015, 2:21 pm
In addition to these regulatory developments, comments from C [read post]
19 Feb 2015, 1:30 pm
[iii] SWIFT is a global financial messaging service. [read post]
19 Feb 2015, 9:13 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Tory Duggins (Duggins) concerning allegations that between November 2011 through May 2012, Duggins exercised discretionary power in two customer accounts by making 17 transactions without obtaining prior written authorization from the customers. [read post]
