Search for: "Financial Industry Regulatory Authority"
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13 Feb 2012, 10:30 am
Speaking on behalf of the members of the global alternative investment community at the 10th Annual Financial Services Conference in Brussels, Managed Funds Association Chair William Goodell discussed the industry's views on a number of relevant public policy initiatives and participated in a panel discussion with Verena Ross, Executive Director of the newly formed European Securities and Markets Authority, and Markus Ferber, a Member of the European Parliament who… [read post]
14 Dec 2010, 2:33 pm
Three members of the Financial Industry Regulatory Authority's board of governors said that small firms should not fear reprisals for complaints to the Ombudsman. [read post]
30 Jun 2022, 12:05 pm
Infinex Broker Roberto Leslie Accused of Unsuitably Recommending Offshore Entity Two investors from Mexico City who worked with Infinex financial advisor Roberto Francisco Leslie have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Infinex Investments. [read post]
25 Oct 2018, 9:01 am
Stephen Allen Murray – Raymond James & Associates – Palm Beach Gardens, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Florida financial advisor Stephen Allen Murray from associating with any FINRA member in any capacity. [read post]
23 Jun 2020, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Ayre’s customer complaints alleges that Ayre recommended unsuitable investments in various investments including allegations of concentrations in energy securities and corporate debt among other allegations of misconduct relating to the handling of their accounts. [read post]
30 May 2011, 10:36 am
The hedge fund industry asked the Financial Stability Board to consider the improvements made by hedge fund counterparties to their risk management practices, as well the new regulations adopted since the advent of the financial crisis, as the Board explores regulatory measures for monitoring the shadow banking system and addressing systemic risks posed by shadow banking. [read post]
6 Jan 2012, 9:07 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) recently jointly issued a Risk Alert and a Regulatory Notice on broker-dealer branch office inspections designed to help securities industry firms better supervise their branch offices, as well as to underscore the importance of that supervision. [read post]
23 Feb 2023, 7:41 am
Securities arbitration is a method of resolving disputes between investors and their brokers or brokerage firms, which is governed by the Financial Industry Regulatory Authority (FINRA). [read post]
22 Feb 2018, 8:23 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Donald Southwick (Southwick). [read post]
6 Feb 2012, 11:27 am
The Financial Industry Regulatory Authority has issued a Regulatory Notice (12-03, Jan. 2012) to “remind” its member firms of their sales practice obligations with regard to complex products, and to provide them “guidance” in exercising heightened scrutiny and supervision over marketing and sales of complex products. [read post]
2 Oct 2020, 4:32 pm
Tony Kassaei, Centaurus Financial, Irvine, CA FINRA Reportedly Bars Tony Kassaei after Allegations of Selling Away According to public records, on September 22, 2020, the Financial Industry Regulatory Authority has barred Tony Kassaei from associating with any FINRA member at any time. [read post]
27 Jul 2018, 7:56 am
According to BrokerCheck Records kept by The Financial Industry Regulatory Authority (FINRA), in January 2018, Dixon was barred from the financial industry for failing to appear at an on-the-record testimony concerning allegations that he was exercising discretion without prior written authorization. [read post]
3 Oct 2008, 3:02 pm
With stock market turbulence and industry consolidation in 2008 have come financial strength ratings downgrades for more than 100 insurers and reinsurers. [read post]
8 Apr 2021, 3:30 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Joseph Ambrosole from the securities industry for six months. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed and registered with Concept Capital Markets, LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2016, 8:01 am
New research shows that getting senior-aged investors to exhibit heightened emotions may cause those investors to more easily part with their hard-earned savings and retirement proceeds, according to a New Release published by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Oct 2015, 6:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Jeffery (Jeffery) has been the subject of one customer complaint and one regulatory action. [read post]
25 Jan 2017, 5:08 am
I am not an opponent of regulation, however, and my early career on Wall Street included two stints as an industry regulatory lawyer with the American Stock Exchange and the National Association of Securities Dealers (now known as the Financial Industry Regulatory Authority "FINRA"). [read post]
18 Nov 2009, 5:32 am
The Financial Industry Regulatory Authority (FINRA) has won approval from the Securities and Exchange Commission (SEC) to expand its BrokerCheck Service and make the disciplinary records of brokers permanently available online to the public. [read post]
1 Jun 2023, 9:41 pm
When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). [read post]
