Search for: "Financial Industry Regulatory Authority"
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18 Feb 2015, 2:48 pm
Aguilar suggests that the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board require broker dealers to disclose markups before executing trades for investors. [read post]
18 Feb 2015, 11:07 am
Later in the year he applied significant focus to the financial services industry and data processing by mobile apps and argued for an expansion of the “Do Not Call” registry to include live calls. [read post]
18 Feb 2015, 11:02 am
Such data can be paired with other available data to infer and tie more sensitive information to individual consumers, such as financial, health and private home behavioral information. [read post]
18 Feb 2015, 9:48 am
Authored by Judy Selby and George Viegas* Our traditional approach to cyber risk and security has been focused on privacy and financial data. [read post]
18 Feb 2015, 7:17 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former Ameriprise Financial Services, Inc. [read post]
17 Feb 2015, 11:52 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Timothy O’Brien (O’Brien) alleging that O’Brien exercised discretion in two customers’ accounts without obtaining prior written authorization from the customers. [read post]
16 Feb 2015, 9:05 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Felt & Company (Felt) alleging that between January 2009, and September 2012, Felt failed to establish and supervisory system that was reasonably designed to ensure that sales leveraged or inverse exchange-traded funds (Non-Traditional ETFs) complied with all applicable securities laws. [read post]
14 Feb 2015, 7:10 am
On the other hand, it's what they left out of the Arbitration Decision that caught the attention of veteran industry lawyer Bill Singer.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2014, associated person Kelly sued public customer Grimes pursuant to an effort to obtain an expungement of a prior arbitration complaint. [read post]
13 Feb 2015, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former LPL Financial LLC (LPL) broker Marc Baldinger (Baldinger) concerning allegations that between August 2010 and November 2012, Baldinger participated in private securities transactions (a/k/a “selling away”) without prior approval of LPL. [read post]
13 Feb 2015, 6:42 am
As a result of alleged misconduct by Santos-Buch in 1994, the National Association of Securities Dealers, Inc. (“NASD”) (a self-regulatory organization ("SRO") and predecessor in interest to the Financial Industry Regulatory Authority, Inc. (“FINRA”)), institute... [read post]
12 Feb 2015, 12:46 pm
Despite the significant number of cyber attacks and recent regulatory focus, it appears that the securities industry has not widely adopted cyber insurance. [read post]
12 Feb 2015, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Lavine (Lavine) concerning allegations that Lavine engage in private securities transactions also known as “selling away. [read post]
11 Feb 2015, 7:04 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have brought action (FINRA Here, SEC Here) against Timothy Dembski (Dembski) and Walter Grenda (Grenda) concerning allegations that they made false and misleading statements to their clients at Reliance Financial Group (Reliance) an investment advisory firm, in recommending and selling investments in a risky hedge fund called Prestige Wealth Management… [read post]
11 Feb 2015, 5:55 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), wi... [read post]
10 Feb 2015, 12:04 pm
In fact, the CFPB is arguably community banks' best friend in the financial regulatory space. [read post]
10 Feb 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
9 Feb 2015, 11:44 am
Most of the financially weaker media cannot afford to resist, and so have fallen in line. [read post]
FINRA arbitration filed against Questar Capital and Centaurus Financial to recover investment losses
9 Feb 2015, 10:56 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Questar Capital and Centaurus Financial. [read post]
9 Feb 2015, 8:43 am
This article continues our prior post concerning The Financial Industry Regulatory Authority (FINRA) recent sanctions of brokerage firm WFG Investments, Inc. [read post]
9 Feb 2015, 6:50 am
Recently, both the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have investigated the electronic cigarette, vaporizer, or “vape” markets. [read post]
