Search for: "Financial Industry Regulatory Authority"
Results 7801 - 7820
of 11,238
Sort by Relevance
|
Sort by Date
18 Aug 2014, 5:22 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 Gerard Kirwan submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Aug 2014, 4:50 am
On June 24, 2014, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed a Complaint against James M. [read post]
16 Aug 2014, 12:15 pm
Now, the Constitutional Accountability Center has turned up a video documenting the genesis of the legal theory advanced in Halbig, and it proves my point.[1] At an American Enterprise Institute conference in late 2010, Thomas Christina, a lawyer for various industry groups on health care issues, presented the results of his search for a statutory “defect” to undermine the ACA. [read post]
15 Aug 2014, 10:53 am
I promise that there is something in here about a debit card, toking, and Lawrence Welk.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, Pedro Castaneda submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
15 Aug 2014, 5:16 am
The Financial Industry Regulatory Authority ("FINRA") has a seemingly short and sweet rule in its Code of Arbitration Procedure for Customer Disputes, which defines mandatory customer-industry arbitration as follows:FINRA Rule 12200. [read post]
15 Aug 2014, 4:30 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2014, registered person Claimant Harmon sought $50 in compensatory damages and the expungement of a 1990 customer complaint from her Central Registration Depository records (“CRD”). [read post]
15 Aug 2014, 3:43 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, registered person Claimant Jeffords alleged: breaches of contract and the covenant of good faith and fair dealing; Uniform Termination Notice for Securities Industry Registration ("Form U5") defamation; tortious interference with contractual relations;unjust… [read post]
13 Aug 2014, 12:39 pm
Consider this recent FINRA settlement.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, Glen Scot Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Aug 2014, 6:42 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Salomon Whitney, LLC (Salomon Whitney) concerning allegations from July 2008 through November 2009 the firm failed to establish and maintain a supervisory system reasonably designed to monitor transactions in leveraged, inverse, and inverse-leveraged Exchange-Traded Funds (Non-Traditional ETFs). [read post]
12 Aug 2014, 4:59 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]
9 Aug 2014, 8:16 am
The economic turmoil of 2008 and thereafter, along with the advancement of quasi public self regulatory soft law (the Santiago Principles) substantially ameliorated the sense fo threat. immediately before the Originally SWFs raised concern. [read post]
8 Aug 2014, 3:08 pm
The Financial Industry Regulatory Authority (FINRA) has suspended Florida broker Kevin Anthony Tuttle for two years and fined him $50,000. [read post]
8 Aug 2014, 2:54 pm
According to the Financial Industry Regulatory Authority (FINRA), former broker Jaime Andres Diaz has been barred from working in the industry by the Financial Industry Regulatory Authority and ordered to pay $600,000 in restitution to clients. [read post]
8 Aug 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Robert Livingstone (Livingstone) concerning allegations that Livingstone failed to respond FINRA’s request for documents concerning claims that Livingstone deposited a customer’s money into a private company called Newland Strategies. [read post]
8 Aug 2014, 5:40 am
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]
6 Aug 2014, 10:41 am
Unfortunately, in the end, what one entrepreneurial stockbroker brought in was a bit of unwelcome FINRA regulation.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 Ray Taylor submitted a Letter of Acceptance, Waiver and Consent… [read post]
6 Aug 2014, 8:07 am
This post picks up our prior article concerning our investigation of claims concerning churning and failure to supervise after The Financial Industry Regulatory Authority (FINRA) made allegations stating that from September 2008, through May 2013, Newport Coast Securities, Inc. [read post]
5 Aug 2014, 6:28 am
The first is an illustrated guide that lays out visually her counsel and the second is that she also includes interviews from a Roundtable of compliance industry participants. [read post]
5 Aug 2014, 6:17 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against brokerage firm Brookville Capital Partners, LLC (Brookville Capital) and its president Anthony Lodati (Lodati) concerning allegations that the respondents defrauded customers in connection with the sale of a private placement offering; made unsuitable recommendations to customers; and failed to establish, maintain or enforce a supervisory system reasonably designed to achieve… [read post]
4 Aug 2014, 7:10 pm
The law offices of Gana LLP are investigating claims of churning and failure to supervise in wake of the allegations made by The Financial Industry Regulatory Authority (FINRA) concerning allegations that from September 2008, through May 2013, Newport Coast Securities, Inc. [read post]
