Search for: "Financial Industry Regulatory Authority"
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8 Sep 2014, 6:23 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Richard Lewis (Lewis) concerning allegations that Lewis exercised discretion in a customer’s account without obtaining prior written authorization from the customer. [read post]
8 Sep 2014, 3:24 am
The settlements often arise because the companies must settle to avoid the potentially ruinous consequences of a trial; the settlements also allow enforcement authorities a basis from which to assert their regulatory effectiveness. [read post]
7 Sep 2014, 11:00 am
Why is EB-5 financing important to the hospitality industry? [read post]
6 Sep 2014, 3:56 pm
Authored by Mercedes Hansen [read post]
6 Sep 2014, 7:51 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker David Herlicka (Herlicka) concerning allegations that from 2003 through 2011 Herlicka made unsuitable trade recommendations to seven customers in connection with the sales of Variable Universal Life (VULs). [read post]
6 Sep 2014, 6:41 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, registered person Claimant Daniels asserted breach of contract; libel/slander on his Uniform Termination Notice for Securities Industry Registration ("Form U5") in the Central Registration Depository record ("CRD") record; violation of FINRA Rule 2010; and wrongful… [read post]
5 Sep 2014, 9:12 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, Michael S. [read post]
5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
5 Sep 2014, 5:00 am
The design might also be interactive and flexible enough to allow its end-user to find new insights and inspirations about the data topic, which the design’s author was not aware of. [read post]
5 Sep 2014, 5:00 am
The design might also be interactive and flexible enough to allow its end-user to find new insights and inspirations about the data topic, which the design’s author was not aware of. [read post]
4 Sep 2014, 3:19 am
Financial Industry Regulatory Authority (FINRA) In January 2014, FINRA announced a “sweep” program, similar to OCIE’s, whereby firms under FINRA’s authority would be receiving targeted examination letters requiring them to respond to questions relating in general to their cyber preparedness. [read post]
3 Sep 2014, 9:30 pm
That regulatory agency then enacts the new code through regulation. [read post]
3 Sep 2014, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm NEXT Financial Group, Inc. [read post]
3 Sep 2014, 4:14 am
Every year just after Labor Day, I take a step back and survey the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
2 Sep 2014, 2:34 pm
According to the Pocono Record, the Financial Industry Regulatory Authority (FINRA) has accused insurance broker, Anthony Diaz, of purchasing unsuitable life insurance investments on behalf of nearly 80 clients. [read post]
2 Sep 2014, 9:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Great American Advisors, Inc. [read post]
31 Aug 2014, 3:06 am
In a recent case, FINRA alleges that far too many red flags went undetected.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, Edwin Quinones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
28 Aug 2014, 11:53 am
FINRA Underpants Gnomes Miss Arbitration Phase 2September 5, 2014In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, FINRA member firm Claimant Kovack Securiti... [read post]
28 Aug 2014, 11:31 am
[This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The SEC announced that the Financial Industry Regulatory Authority (FINRA) and the national securities exchanges have filed a proposal to implement a pilot program that will widen the minimum quoting and trading increments (tick sizes) for smaller companies. [read post]
28 Aug 2014, 7:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Blackbook Capital LLC (Blackbook) concerning allegations that: 1) between April 2010 and June 2011, Blackbook charged customers $60.50 on each purchase or sale transaction in addition to or in place of a designated commission; 2) between August 2010, and August 2011, Blackbook failed to search its records in response to requests by the Financial Crimes Enforcement Network of the… [read post]
