Search for: "Financial Industry Regulatory Authority"
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20 Dec 2013, 6:57 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. [read post]
19 Dec 2013, 6:48 pm
”[9] Regulatory authorities are also part of this refinement. [read post]
19 Dec 2013, 5:44 am
Broker Joseph Anthony Giordano (Giordano) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he participated in the distribution of unregistered debentures issued by Empire Corporation, a Maryland corporation (Empire Debentures) to customers of Capital Investment Group, Inc. [read post]
18 Dec 2013, 9:22 am
In order to sell securities in the US broker dealer are required to register with FINRA, the Financial Industry Regulatory Authority. [read post]
HFP Capital Markets’ Employees Sanctioned Over Metals Millings and Mining Private Placement Offering
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
17 Dec 2013, 7:15 am
In his prepared remarks on the lawsuit, Director Cordray called the filing “a significant step in the Consumer Bureau’s efforts to address regulatory evasion schemes that are increasingly becoming a feature of the online small-dollar and payday lending industries. [read post]
16 Dec 2013, 4:53 am
Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. [read post]
15 Dec 2013, 5:45 pm
” Moreover, because global financial institutions can park their higher risk operations almost anywhere, some nations can profit from regulatory arbitrage by keeping their regulatory controls laxer than in the more financially developed nations (which bear the principal share of the costs from financial contagion). [read post]
15 Dec 2013, 4:46 am
There are certainly examples in other industries where consortia of NGOs and individuals have taken up the opportunity to own shares in companies as a means of holding them to account ethically, including the oil and arms industries. [read post]
12 Dec 2013, 4:41 pm
” The Committee of Ministers has led the way in drawing attention to the importance of media ownership transparency and urging member states to “adopt any regulatory and financial measures called for in order to guarantee media transparency”. [read post]
11 Dec 2013, 9:37 pm
Industry specific regulations may be applied in addition to these controls to supplement and address security risks and threats in high impact information systems using cloud services (e.g.: Highly confidential business data, financial records, medical records). [read post]
11 Dec 2013, 7:03 am
In other circumstances, an investor may file a complaint with Financial Industry Regulatory Authority (FINRA). [read post]
10 Dec 2013, 6:36 am
Most securities claims must be brought in arbitration before the Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator. [read post]
10 Dec 2013, 6:11 am
Part II turns to a description of the legal and regulatory framework within which the NSWF is organized. [read post]
8 Dec 2013, 6:21 am
As the value of the UBS Funds has plummeted by 50-60% in value in a matter of months investor complaints filed with the Financial Industry Regulatory Authority Inc. [read post]
6 Dec 2013, 1:41 pm
The Financial industry Regulatory Authority (FINRA) suspened Lisnek in November alleging fraud associated with cash investments in exchange for REIT stocks. [read post]
6 Dec 2013, 12:27 pm
According to new s release, the Financial Industry Regulatory Authority (FINRA) ordered broker-dealer J.P Turner & Co to pay more than $700,00 in restitution to customers. [read post]
6 Dec 2013, 6:43 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Source Capital Group (Source Capital) registered representatives Kevin Cline (Cline), Robert Burr (Burr), Vincent Christopher (Christopher), and Thomas Gilleland (Gilleland). [read post]
5 Dec 2013, 5:41 am
The Financial Industry Regulatory Authority (FINRA) recently barred financial advisor William D. [read post]
4 Dec 2013, 10:43 am
The 2012 default gave rise to an investigation and complaint filed in 2013 by the Financial Industry Regulatory Authority (FINRA) against Mr. [read post]
