Search for: "Financial Industry Regulatory Authority"
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27 Aug 2014, 5:21 pm
., Des Moines; Legislative Director and Staff Attorney, American Civil Liberties Union of Iowa; Associate Attorney/Financial & Office Manager, Dickey & Campbell, PLCAdmitted to practice law in IowaTrevor Findley (Aumsville, Oregon) J.D., Cum Laude, Willamette University College of LawCertificates in Business Law, International and Comparative LawNote and Comment Editor, WILLAMETTE LAW REVIEWSenior Writer, WILLIAMETTE LAW ONLINEGraduate Certificate in Homeland Security/Defense,… [read post]
27 Aug 2014, 5:31 am
All the cases have been filed before The Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2014, 10:22 am
The consent order also includes Global’s agreement to be subject to the CFPB’s supervisory authority for 3 years. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Stephen Lard (Lard) concerning allegations that Lard recommended and sold various private-placement securities, that were speculative, high risk, and illiquid to customers three customers. [read post]
25 Aug 2014, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations that in connection with a FINRA investigation into allegations of misconduct in several customer accounts, FINRA staff scheduled Davis’ on-the-record (OTR) testimony and Davis failed to appear for the scheduled testimony and informed the agency that he would not appear at another time. [read post]
24 Aug 2014, 10:02 pm
The author misses few opportunities to impugn the integrity of the organic label, or USDA oversight, while simultaneously defending biotechnology and the industrial agriculture system that organics seeks to replace. [read post]
23 Aug 2014, 10:07 am
Back in Decmeber 2013, the law offices of Gana LLP reported that “Former Ryan Beck and Oppenheimer Financial Advisor William Bucci Barred From the Financial Industry” where we reported that The Financial Industry Regulatory Authority (FINRA) barred Bucci for allegedly accepting 19 personal loans totaling $635,000 from nine customers in violation of FINRA rules. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
22 Aug 2014, 6:34 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Safeguard Securities, Inc. [read post]
20 Aug 2014, 2:11 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Aug 2014, 5:35 am
The SEC is working with the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) to facilitate a coordinated approach to oversight of municipal advisors. [read post]
19 Aug 2014, 3:20 pm
Broker dealers that overlook the Financial Industry Regulatory Authority’s suitability requirements or mislead investors regarding risks can be liable for investment losses through FINRA arbitration. [read post]
18 Aug 2014, 2:06 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Aug 2014, 2:04 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Aug 2014, 2:00 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Aug 2014, 12:51 pm
Just this year alone, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial with nearly $3 million in penalties as a result of the company’s faulty “three-tiered supervisory system”. [read post]
18 Aug 2014, 7:51 am
Just this year alone, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial with nearly $3 million in penalties as a result of the company’s faulty “three-tiered supervisory system”. [read post]
18 Aug 2014, 7:51 am
Just this year alone, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial with nearly $3 million in penalties as a result of the company’s faulty “three-tiered supervisory system”. [read post]
18 Aug 2014, 7:05 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, David Barthold, Marc Kalter, and David Wolk each subm... [read post]
18 Aug 2014, 7:05 am
In 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 termination. [read post]
