Search for: "Financial Industry Regulatory Authority"
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19 Sep 2014, 5:04 am
Here is a recent arbitration case in which a former employee is seeking recovery of both a bonus and severance, and he's largely coming into the hearing armed with little more than his recollection of what he asserts was said and promised to him.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2013, Claimant Kim allege... [read post]
19 Sep 2014, 12:17 am
However, overall, these proposals are good for cloud and good for the financial services industry in Singapore.Filed under: ASEAN, Data protection, Government policy, Hardware, Outsourcing, Regulatory action, Services, Singapore, Software, Technology Tagged: Financial Institutions, MAS, Monetary Authority of Singapore [read post]
18 Sep 2014, 5:43 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael Zukowski (Zukowski) concerning allegations that Zukowski recommended unsuitable transactions in inverse and inverse-leveraged Exchange Traded Funds (Non-Traditional ETFs) in the accounts of his customers. [read post]
18 Sep 2014, 4:00 am
Some have argued that intermediaries are ‘low cost avoiders’ of the behaviour sought to be controlled, i.e. they are the cheapest route to regulatory effect. [read post]
17 Sep 2014, 9:01 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 w... [read post]
17 Sep 2014, 6:06 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Raymond Clark (Clark) and imposed findings: (1) suspending the broker for three months and fined $6,000 for using his personal email account to communicate with a customer; (2) suspended for four months and fined $10,000 for making false statements to his firm; and (3) suspended for two months and fined $4,000 for failing to report a customer complaint to his firm. [read post]
16 Sep 2014, 11:40 am
Together, these constituted the sum of the law-making authority of the early Republic. [read post]
16 Sep 2014, 7:15 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Anthony Diaz (Diaz) concerning a host of industry violations. [read post]
15 Sep 2014, 7:31 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... [read post]
15 Sep 2014, 7:02 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm The Oak Ridge Financial Services Group, lnc. [read post]
12 Sep 2014, 6:10 am
This post picks up on our first article on The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm B. [read post]
12 Sep 2014, 4:40 am
Set for on Monday, September 30, 2014, the 13th annual event is open to those who are working as Ombuds in the Federal sector and others interested in the role.Speakers will be internal and external ombuds from the National Institutes of Health, Small Business Administration, Financial Industry Regulatory Authority, Federal Emergency Management Agency, Department of Energy, and American Red Cross. [read post]
11 Sep 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm B. [read post]
11 Sep 2014, 4:27 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, Xiao Yun Yu submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Sep 2014, 4:09 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 adjudica... [read post]
10 Sep 2014, 6:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm 79 Capital Securities, LLC (79 Capital) and broker Michael Ward (Ward) concerning allegations around June and July 2012, 79 Capital and Ward posted on the website of a business networking organization sales material regarding GWG Renewable Secured Debentures (GWG Debentures), an illiquid and high-risk alternative private placement investment that omitted material information concerning… [read post]
10 Sep 2014, 4:20 am
(FINRA Careers.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds; FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report. [read post]
9 Sep 2014, 6:20 pm
That power to command is distinct from the traditional authority of the Crown to command individuals (an executive or police power). [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
9 Sep 2014, 3:29 am
Conover sent a written complaint to the Financial Industry Regulatory Authority (“FINRA”) in which he asserted that his deceased father’s assets had been illegally transferred to an ETRADE account. [read post]
