Search for: "Financial Industry Regulatory Authority"
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16 Oct 2014, 6:26 am
The Financial Industry Regulatory Authority (FINRA) barred broker Edward Wendol (Wendol) concerning allegations that during the course of FINRA’s investigation into whether Wendol was involved in undisclosed outside business and private securities transactions, also known as “selling away”, Wendol failed to respond to FINRA’s requests. [read post]
15 Oct 2014, 9:30 pm
The DOT contends that Amtrak’s involvement was merely advising on new regulations and that the agency did not delegate regulatory authority. [read post]
15 Oct 2014, 9:30 pm
The DOT contends that Amtrak’s involvement was merely advising on new regulations and that the agency did not delegate regulatory authority. [read post]
15 Oct 2014, 6:34 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Thomas Sharp (Sharp) concerning allegations that Sharp violated NASD Rule 2210(d) by sending emails to potential investors in a non-exchange traded real estate investment trusts (Non-Traded REITs) that were not fair and balanced and failed to provide a sound basis for evaluating the facts. [read post]
14 Oct 2014, 10:09 am
The announcement also noted that the Enforcement Division’s assistance from the Financial Industry Regulatory Authority (FINRA) helped “to quickly identify potential violations. [read post]
14 Oct 2014, 6:29 am
According to broker Lorene Fairbank’s (Fairbank) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that From August 2006, through February 2012, she effected approximately 57-69 discretionary transactions for seven firm customers without written authorization from the customers or approval from the firm. [read post]
13 Oct 2014, 7:46 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker David Escarcega (Escarcega) concerning allegations that Escarcega recommended unsuitable investments in Renewable Secured Debentures of GWG, Inc. [read post]
13 Oct 2014, 6:00 am
Congress passed the Motor Carrier Act of 1980 (MCA) with the intention of overhauling "outdated and archaic regulatory mechanisms, while retaining the pluses of an industry that has worked by simply conducting itself under the ‘rules of the game. [read post]
13 Oct 2014, 6:00 am
Congress passed the Motor Carrier Act of 1980 (MCA) with the intention of overhauling "outdated and archaic regulatory mechanisms, while retaining the pluses of an industry that has worked by simply conducting itself under the ‘rules of the game. [read post]
10 Oct 2014, 6:14 am
The Financial Industry Regulatory Authority (FINRA) permanently barred broker Dennis Karasik (Karasik) concerning allegations that from December 2010, to March 2012, Karasik participated in private securities transactions, otherwise known as “selling away” without providing prior written notice to the two firms with which he was associated. [read post]
9 Oct 2014, 4:08 pm
According to Onwallstreet.com, the Financial Industry Regulatory Authority (FINRA) recently barred a Chicago stockbroker who allegedly misappropriated $1 million from his clients’ accounts. [read post]
7 Oct 2014, 10:05 am
Banks Jr. is a Portland securities litigator making news in The New York Times for his efforts to shine a light on how the Financial Industry Regulatory Authority (“FINRA”) manages expungement requests. [read post]
6 Oct 2014, 4:02 pm
According to InvestmentNews, the former Raymond James broker that devised a scheme to swindle a 95 year-old client out of nearly $1 million has been barred by the Financial Industry Regulatory Authority. [read post]
6 Oct 2014, 2:24 pm
This restriction on the bank’s acquisition of default loan servicing rights seems to be part of a growing regulatory trend for the industry. [read post]
6 Oct 2014, 3:10 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, Angela M. [read post]
6 Oct 2014, 2:11 am
The MAS recognises therefore that outsourcing is fundamentally important to the financial industry but wants to make sure that the risks involved are properly dealt with. [read post]
2 Oct 2014, 11:51 am
On October 1st, the nation’s Securities and Exchange Commission (“SEC”) reportedly extended its review of a Financial Industry Regulatory Authority (“FINRA”) proposal to revamp how public arbitrators are selected in disputes between brokerages and consumers. [read post]
2 Oct 2014, 4:21 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013 and thereafter amended, Claimant Fernandez asserted breaches of contract and fiduciary duty; fraud; churning; and manipulation against Respondents Wells Fargo Securities, LLC and Deutsche Bank Securities, Inc... [read post]
30 Sep 2014, 11:13 am
What these amicus briefs add is a description of the disruption the authors anticipate if the Court were to require “active supervision” of state licensure bodies if many of their members are active participants in the relevant industry. [read post]
29 Sep 2014, 4:15 pm
This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering… [read post]
