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31 Dec 2014, 6:45 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Jason Muskey for failing to respond to the regulator’s requests for information. [read post]
30 Dec 2014, 6:17 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Center Street Securities, Inc. [read post]
29 Dec 2014, 9:30 pm
Why Should Regulators Apply Cost-Benefit Analysis to Financial Regulation? [read post]
29 Dec 2014, 3:22 am
Unlike the rock 'n roll icon, FINRA does mind.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, p... [read post]
28 Dec 2014, 2:33 pm
The analysis is critically important for providing a window on the way in which Chinese sovereign investing--coordinating private market transactions through SOEs with national regulatory authority applied extraterritorially--will have a growing effect on the shape of globalization. [read post]
27 Dec 2014, 2:19 am
And as the month ended the EU Commission said that it had serious doubts about Italian Communication Authority's (AGCOM) draft online copyright enforcement regulation. [read post]
26 Dec 2014, 7:36 am
Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)It's another new year and time to re-visit the nuances involved in entering into an Acceptance, Waiver, and Consent settlement ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
26 Dec 2014, 7:22 am
It's another new year and time to re-visit the nuances involved in entering into an Acceptance, Waiver, and Consent settlement ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
26 Dec 2014, 4:21 am
This post continues our exploration of the Financial Industry Regulatory Authority’s (FINRA) acceptance, waiver, and consent action (AWC) that sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision to comply with the securities laws. [read post]
25 Dec 2014, 4:20 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision that is reasonably designed to achieve compliance with securities laws. [read post]
23 Dec 2014, 9:33 am
Read this recent case analysis by Bill Singer for details about this dispute.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, Claimant Schonhorst asserted libel and slander on his Uniform Termination Notice for Securities Industry Registration ("Form U5") and wrongful termination. [read post]
23 Dec 2014, 5:05 am
Thus, “regardless of financial support, if a firm has any . [read post]
22 Dec 2014, 12:13 pm
Based in the world’s major financial, technology and energy centers, Pillsbury counsels clients on global business, regulatory and litigation matters. [read post]
22 Dec 2014, 7:07 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Securities America, Inc. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
17 Dec 2014, 8:30 am
Regulatory Developments. [read post]
17 Dec 2014, 8:00 am
He also thanked the Financial Industry Regulatory Authority for its assistance in the investigation. [read post]
17 Dec 2014, 2:58 am
Consider this recent case involving a registered person's loans from two friends.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, Dian... [read post]
17 Dec 2014, 2:26 am
After the dust settles, however, we are left wondering what took the regulator so long to resolve what appears to have been a slam-dunk case.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, Stuart A. [read post]
16 Dec 2014, 3:21 pm
RCS concedes that it is fielding regulatory inquiries after its recent disclosure of accounting errors. [read post]
