Search for: "Financial Industry Regulatory Authority"
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14 Jan 2015, 6:40 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Derek Weaver (Weaver) alleging that Weaver failed to provide documents and information to FINRA in response to demands made to investigate the broker’s activities. [read post]
13 Jan 2015, 9:07 am
Consider this recent case in which one registered person failed to timely disclose his bankruptcy filing.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or den... [read post]
10 Jan 2015, 6:00 am
In December, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research analysts were involved in impermissibly soliciting investment banking business by offering their views during the pitch for the Toys “R” Us IPO (which was never actually completed). [read post]
9 Jan 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently suspended former Cambridge Investment Research, Inc. [read post]
7 Jan 2015, 9:34 am
FINRA – the Financial Industry Regulatory Authority — has stepped up to the plate this week. [read post]
7 Jan 2015, 8:00 am
The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market integrity.This year's letter, focuses on key sales practice, financial and operational, and market integrity matters, and identifies challenges in five key areas that should be addressed to get ahead of… [read post]
7 Jan 2015, 6:41 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Newbridge Securities Corporation (Newbridge) concerning allegations that the firm violated a host of sales obligations to customers that resulted in unfair trading practices. [read post]
6 Jan 2015, 4:31 pm
The Guardian, the Independent and the Financial Times groups are outside any regulatory structure. [read post]
6 Jan 2015, 8:15 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]
6 Jan 2015, 7:10 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
6 Jan 2015, 4:14 am
The plaintiff alleges that “in violation of their express promise to do so, and contrary to reasonable expectations,” the company and its subsidiaries “failed to take reasonable steps to maintain their customers’ personal and financial information in a secure manner. [read post]
5 Jan 2015, 4:46 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]
5 Jan 2015, 3:31 pm
In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically over the past twelve months. [read post]
5 Jan 2015, 8:34 am
Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, obtained by unregistered foreign individuals who sold securities on the firm’s behalf. [read post]
5 Jan 2015, 7:37 am
Rather than violate company policies or industry regulations to make a point about their value to the airline, they complied in a rigid and highly disruptive manner. [read post]
4 Jan 2015, 2:39 pm
Don't start counting your chickens until you ask yourself these questions: (1) Are you pursuing the correct regulatory approval, (2) Are you at the correct agency, and (3) Does the person you spoke to have authority to speak for the agency? [read post]
3 Jan 2015, 7:57 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Source Capital Group, Inc. [read post]
2 Jan 2015, 4:57 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, Russell Darin Hurley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Jan 2015, 4:56 am
In this first such case of 2015, we find the old combo of liens and judgments, and, for good measure, an added dose of willfulness.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, Scott Cameron Nicol submitted a Letter of Acceptance,… [read post]
1 Jan 2015, 5:48 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Arque Capital, Ltd. [read post]
