Search for: "Financial Industry Regulatory Authority"
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16 Dec 2014, 1:24 pm
The Financial Industry Regulatory Authority (FINRA) has announced that Merrill Lynch has been fined $1.9 million and ordered to pay restitution in the amount of $540,000 for fair pricing violations as well as supervisory violations related to the purchase of certain distressed securities. [read post]
16 Dec 2014, 3:39 am
For Advice, Training & Other Resources If you need assistance resolving past Form 5500 or other filing exposures, or monitoring and responding to these and other regulatory policy, enforcement, litigation or other developments, or to review or respond to these or other workforce, benefits and compensation, performance and risk management, compliance, enforcement or management concerns, the author of this update, attorney Cynthia Marcotte Stamer may be able to… [read post]
15 Dec 2014, 9:26 am
Specifically, according to the Financial Industry Regulatory Authority (FINRA), Citigroup failed to deliver prospectuses to customers who bought shares in one or more of 160 exchange traded funds (ETFs) in late 2010. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
14 Dec 2014, 11:04 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
12 Dec 2014, 7:14 am
In the lyrics of a Billie Holiday song:I'm a fool to want youTo want a love that can't be trueCase 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, Barbara Ann Corner submitted a Letter of Acceptance, Waiver an... [read post]
12 Dec 2014, 7:12 am
Nonetheless, after you've read today's column, walk about your branch office and make sure everything is plugged in and turned on.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, Commerce Brokerage Services, Inc. submitted a Letter… [read post]
12 Dec 2014, 7:03 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Global Brokerage Services, Inc. [read post]
11 Dec 2014, 1:54 pm
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Centaurus Financial. [read post]
11 Dec 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Cantella & Co., Inc. [read post]
11 Dec 2014, 4:43 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, Susan L. [read post]
11 Dec 2014, 4:35 am
See this recent case for discussion of some of these issues.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011 public customer Claimants Jiovino and Route 36 East LLC alleged causes of action against Citigroup Global Markets, Inc. [read post]
11 Dec 2014, 3:18 am
This is good news for consumers who may have purchased complex financial products like PPI. [read post]
11 Dec 2014, 1:35 am
But a spate of recent federal court decisions are split about the reach of those protections.The three-judge panel on Monday ruled that Dodd-Frank did not invalidate an earlier employment agreement between a unit of TD Ameritrade Holding Corp and Boris Khazin, who worked in the firm's compliance group, to arbitrate employment-related disputes through the Financial Industry Regulatory Authority's system.Employment agreements that brokers and other… [read post]
11 Dec 2014, 12:13 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]
10 Dec 2014, 3:03 pm
According to Financial Planning, the Financial Industry Regulatory Authority (FINRA) recently suspended former Ameriprise advisor, Jon Dabareiner, following a month long investigation for allegedly copying clients’ signature. [read post]
10 Dec 2014, 12:37 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]
10 Dec 2014, 6:25 am
This article continues the examination of the findings by The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), concerning LaSalle St. [read post]
10 Dec 2014, 1:18 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2010, Claimants Barra and Sampedro sought $7 million in damages, fees, and interest in connection with the following causes of action attendant to their employment termination by Respondent Goldman Sachs:violations of the Uniformed Serv... [read post]
9 Dec 2014, 10:38 am
I welcome guest post submissions from responsible authors on topics of interest to readers of this blog. [read post]
