Search for: "Financial Industry Regulatory Authority"
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18 Nov 2014, 8:46 am
By Ben Keane and Stefan Passantino Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play […] [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play […] [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play […] [read post]
18 Nov 2014, 3:00 am
In today's BrokeAndBroker.com Blog, we consider claims about unpaid commissions and the calculation of deferred compensation.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2013, Claimant Kelly asserted breach of contract attendant to Respondent SagePoint’s alleged failure to pay him commission compensation and Respondents purportedly improper calculation and valuation of his… [read post]
17 Nov 2014, 1:00 pm
The Financial Industry Regulatory Authority (FINRA), a private, self-regulatory organization for U.S. securities firms, is proposing pay-to-play rules. [read post]
17 Nov 2014, 11:36 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]
17 Nov 2014, 10:05 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]
15 Nov 2014, 7:44 pm
Vincent Corner, Head of Hong Kong Office & Head of Sectors - Asia, Pinsent Masons Dr Gao Xiqing, formerly Deputy Chairman, China Securities Regulatory Commission; Chief Executive Officer, China Investment Corporation Mr. [read post]
15 Nov 2014, 4:11 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, Suzanne Ellen Meserve submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Nov 2014, 12:19 pm
Regulatory actions include proceedings commenced by regulators, including the Securities and Exchange Commission and Financial Industry Regulatory Authority, which generally seek financial penalties and/or temporary or permanent bars from the securities industry. [read post]
14 Nov 2014, 6:07 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Stifel, Nicolaus & Company, Inc. [read post]
14 Nov 2014, 3:25 am
For one thing, there are aspects of an undisclosed private securities transaction; and, for another thing, it seems that we may have an undisclosed outside business activity.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, Donald L. [read post]
14 Nov 2014, 3:04 am
According to the homepage of The Financial Industry Regulatory Authority ("FINRA") Dispute Resolution:FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.In recent years, advocates for public investors have questioned the fairness of many of the policies and procedures of Wall… [read post]
13 Nov 2014, 9:26 am
Stamer has more than 26 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
13 Nov 2014, 5:22 am
According to the Financial Industry Regulatory Authority’s BrokerCheck system, there have been four customer complaints filed against former Sigma Financial Corporation (Sigma) and current Charles Schwab broker, Mark Johanson (Johanson) stemming from unsuitable Tenants-in-Common (TIC) investments. [read post]
12 Nov 2014, 2:34 am
For 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, Terence Marable submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Nov 2014, 12:24 pm
Therefore, the Privacy Rule permits covered entities to disclose needed protected health information without individual authorization: To Or At The Direction Of A Public Health Authority. [read post]
11 Nov 2014, 6:02 am
(Legend) on behalf of a customer with the Financial Industry Regulatory Authority (“FINRA”) alleging that Legend and Legend broker, Michael Guilfoyle, recommended unsuitable investments while churning his account and executing unauthorized trades in violation of FINRA rules and other applicable law. [read post]
