Search for: "Financial Industry Regulatory Authority"
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26 Oct 2014, 7:08 pm
The Securities Industry and Financial Markets Association (“SIFMA”) also released its own guidance on the “reasonable steps” required to verify accredited investor status. [read post]
24 Oct 2014, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Financial America Securities, Inc. [read post]
24 Oct 2014, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) barred broker Joseph Pappalardo (Pappalardo) concerning allegations that between August 2008, and August 2012, Pappalardo, while associated with Financial Network Investment Corporation (n/k/a Cetera Advisor Network LLC), made fraudulent and misleading misrepresentations to a customer in the sale of private securities, converted customer funds for his personal use, engaged in private securities… [read post]
24 Oct 2014, 10:17 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC’s Chief Administrative Law Judge has determined that the Securities Industry and Financial Markets Association (SIFMA) has standing to challenge rule changes made by NYSE and NASDAQ that establish fees for access to depth-of-book data. [read post]
23 Oct 2014, 3:22 am
Consider this regulatory settlement involving one stockbroker's "away" accounts.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, Abhishek Ghuwalewala submitted a Let... [read post]
23 Oct 2014, 3:16 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, James Gregory Nixon submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Oct 2014, 9:58 am
“His work in the banking industry and as a small tax practitioner gives him an exceptional perspective on our tax laws and how they influence individual taxpayers and business decisions, as well as tax practitioners and the CPAs who work in American businesses and the financial services industry. [read post]
22 Oct 2014, 5:33 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Feltl & Company (Feltl) and fined the firm $1,000,000 concerning allegations that the firm, between January 2008, and February 2012. failed to comply with the suitability, disclosure, and record-keeping requirements for broker-dealers who engage in penny stock business. [read post]
21 Oct 2014, 1:35 pm
As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in settlement agreements that prohibit or otherwise restrict customers or anyone else (such as current employees) from communicating with the Securities Exchange Commission (SEC), FINRA, or any federal or state regulatory… [read post]
21 Oct 2014, 6:03 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its brokers’ marketing of nontraditional investments. [read post]
20 Oct 2014, 11:49 am
At first, it looked like he was going to be successful that way, but then someone stole the files he had put together on the issue and turned them over to the Financial Industry Regulatory Authority, the industry’s self-regulatory body. [read post]
20 Oct 2014, 8:17 am
In recent months, the SEC has actively engaged with the industry through speeches, guidance updates, and examinations to counsel advisers on their newfound obligations and to gain a better understanding of the industry. [read post]
20 Oct 2014, 3:56 am
” Going forward, the SEC Enforcement head said, the agency will “continue to bring its resources to bear across the entire spectrum of the financial industry. [read post]
18 Oct 2014, 2:30 pm
” And then cited a case involving professional financial advisers.The contrast between the Court’s low regard for the speech of physicians and the high regard for commercial speech is striking.In Sorrell vs. [read post]
18 Oct 2014, 4:18 am
On September 19, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that its Board of Governors (the “Board”) approved a series of regulatory initiatives primarily focused on equity and fixed income market structure issues. [read post]
17 Oct 2014, 10:12 am
” UBS continues to face action from its clients via arbitration claims filed with the Financial Industry Regulatory Authority (“FINRA”). [read post]
17 Oct 2014, 6:03 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Huntleigh Securities Corporation (Huntleigh) concerning allegations that the firm failed to establish and maintain a supervisory system regarding the sale of leveraged as well as inverse leveraged exchange traded funds (Non-Traditional ETFs) reasonably designed to achieve compliance with applicable securities laws. [read post]
17 Oct 2014, 6:00 am
Efforts of entrepreneurs and joint efforts with social reformers during this period led to the beginnings of philanthropic lending, Morris Plan industrial banks for working people, credit unions, and the regulated small loan industry. [read post]
16 Oct 2014, 11:36 am
Bottle of WineIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2013, Claimant Clay alleged breach of employment contract; fraud; intentional interference with business relationship; and defamation. [read post]
16 Oct 2014, 7:50 am
So . . . how would you feel if the nation's largest financial industry self-regulatory organization called a Tweet a "public appearance? [read post]
