Search for: "Financial Industry Regulatory Authority"
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24 Jul 2014, 7:32 am
In today's BrokeAndBroker.com Blog, we examine one such battle.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, and as amended thereafter, registered representative Claimant Prochorenko asserted defamation on his Uniform Termination Notice for Securities Industry Registr... [read post]
24 Jul 2014, 7:00 am
District Court for the Central District of California remanded to a California state court a stockbroker’s lawsuit against the Financial Industry Regulatory Authority for expungement of certain allegedly harmful disclosures from BrokerCheck. [read post]
23 Jul 2014, 12:40 pm
This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2014, 8:59 am
The Financial Industry Regulatory Authority (FINRA) accused Mustaphalli of soliciting money for his fund, Mustaphalli Capital Partners, and receiving commissions over a six month period in 2011. [read post]
23 Jul 2014, 5:55 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
23 Jul 2014, 5:47 am
The BrokeAndBroker Blog examines one recent FINRA arbitration in which a named stockbroker not only denied the customer's charges but filed a counterclaim.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, public customer claimants Charles and Frances Prignano alleged breach of fiduciary duty, neglig... [read post]
21 Jul 2014, 6:05 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and fraud in connection with his three Individual Retirement Accounts (“IRAs”) maintained at Respondent Charles Schwab & Co., Inc. [read post]
21 Jul 2014, 4:40 am
Regulators everywhere, under pressure from the recent global financial crisis as well as because of the periodic outbreak of massive scandals like Satyam, increasingly are taking a more aggressive approach and increasingly are seeking to use regulatory tools to enforce their own laws and to impose penalties. [read post]
19 Jul 2014, 9:09 pm
Most all others who lobby about nutrition policy want USDA to hold the line and take new nutrition standards and regulatory controls to their full implementation stage for the 2014-15 school year and then lose no ground when the Healthy, Hunger Free Kids Act is re-authorized by Congress in 2015. [read post]
19 Jul 2014, 2:51 pm
When the proverbial fox is put in charge of the henhouse, board members’ financial incentives may lead the board to make regulatory choices that favor incumbents at the expense of competition and the public. [read post]
18 Jul 2014, 10:40 am
Certain individuals who have signature authority over, but no financial interest in, one or more foreign financial accounts (including officers and employees of the SEC-registered investment advisers who have only signature authority over foreign financial accounts) have been given an extension until June 30, 2015. [read post]
18 Jul 2014, 9:59 am
As reported by InvestmentNews, A Financial Industry Regulatory Authority (FINRA) official recently expressed concern over the sale of variable annuities as the products continue to evolve and become more complex. [read post]
18 Jul 2014, 4:42 am
Read on.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, Moses G. [read post]
17 Jul 2014, 7:21 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, Gary D. [read post]
17 Jul 2014, 7:18 am
On June 16, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for charging excessive fees relating to the sales of mutual funds in retirement accounts. [read post]
17 Jul 2014, 1:24 am
The Division of Industrial Relations, a sub-agency of the Dept. of Business and Industry was given regulatory authority over the SIIS and self-insured employers. [read post]
16 Jul 2014, 11:06 pm
The reason is that the decision-makers have a stake in the game: “Occupational regulation can be especially problematic when regulatory authority is delegated to a nominally ‘independent’ board comprising members of the very occupation it regulates. [read post]
16 Jul 2014, 9:30 pm
The possible regulatory ramifications have drawn opposition from various groups in Europe. [read post]
16 Jul 2014, 4:35 pm
The creation of CFPB alters the regulatory landscape for these laws. [read post]
16 Jul 2014, 9:10 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]
