Search for: "Financial Industry Regulatory Authority"
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9 Dec 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. [read post]
8 Dec 2014, 2:45 pm
Financial Industry Regulatory Authority (“FINRA”) rules expressly prohibit registered financial advisors from selling unsuitable investments to the public. [read post]
6 Dec 2014, 2:14 pm
Many of the attendant risks were new to the banking industry, and could result in significant financial losses to the financial institutions. [read post]
5 Dec 2014, 6:19 am
The law offices of Gana LLP are investigating a series of claims before The Financial Industry Regulatory Authority (FINRA) in relation to the conduct of financial advisor Robert Smith (Smith). [read post]
4 Dec 2014, 5:00 pm
This, the Court ruled, was a delegation of legislative authority to private industry. [read post]
4 Dec 2014, 5:21 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Essex Securities, LLC (Essex Securities) alleging that from February 2010, through March 2011, Essex Securities through one of its brokers violated industry rules by engaging in a pattern of unsuitable mutual fund switching, a form of churning, in the accounts of seven customers. [read post]
3 Dec 2014, 11:04 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]
3 Dec 2014, 10:41 am
As a result, the independent public accountants that conduct their audits express “no opinion” on the financial statements of the assets they hold on behalf of plans. [read post]
3 Dec 2014, 7:05 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned brokerage firm Genworth Financial Securities Corporation (Genworth) n/k/a Cetera Financial Specialists, LLC (Cetera) concerning allegations that from July 2009, through June 2012, the firm failed to establish a supervisory system and enforce written supervisory procedures designed to identify and prevent unsuitable excessive trading… [read post]
1 Dec 2014, 3:46 am
Thereafter, we have the mystical appearance of FINRA in the role of a somewhat forgiving regulatory angel -- some might say in the shape of a Jefferson Starship.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, Rick Dean Bianchi… [read post]
1 Dec 2014, 2:14 am
Consider this recent settlement involving a CCO, FINOP, and an expelled FINRA member firm.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... [read post]
27 Nov 2014, 12:00 am
The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body. [read post]
25 Nov 2014, 1:26 pm
According to Financial Planning, the Financial Industry Regulatory Authority barred former CUSO Financial Services broker, Patrick Richard Harrison, for allegedly participating in a private placement transaction that cost two elderly investors more than $340,000. [read post]
25 Nov 2014, 8:09 am
Selling away is prohibited under the rules of the Financial Industry Regulatory Authority (FINRA), particularly FINRA Rule 3040, as well as other securities laws. [read post]
25 Nov 2014, 7:51 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a Houston-based wealth management company to pay 19 retirees a total of $3.8 million for mismanaging their investment accounts. [read post]
25 Nov 2014, 6:41 am
The report highlighted regulatory violations − or unfair, abusive, or deceptive trade acts or practices (UDAAPs) − in the consumer reporting, debt collection, deposits, mortgage servicing, and student loan servicing industries. [read post]
25 Nov 2014, 2:52 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, David Johnson Whiting submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
24 Nov 2014, 6:15 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) barred broker Eric Johnson (Johnson) concerning allegations that Johnson misappropriated more than $1,000,000 from at least six firm customers’ brokerage accounts. [read post]
21 Nov 2014, 9:57 am
On November 17, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information on customer confirmations for transactions in fixed income securities. [read post]
18 Nov 2014, 9:45 am
It's not so much what's said by FINRA about this misconduct that has Bill Singer apoplectic (after all, it doesn't take that much to get Bill upset), it is what is not said by FINRA that underscores so much of the nonsense and silliness that has become Wall Street regulation.The Santiago AWCFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or… [read post]
