Search for: "Financial Industry Regulatory Authority"
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26 Jun 2014, 3:01 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, Marcy B. [read post]
24 Jun 2014, 11:36 am
This most recent complaint is just one of many that have been filed regarding these bond funds, as more than 200 arbitration claims have been filed with the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jun 2014, 9:30 pm
After separating general public commenters from those associated with the regulated industry, the authors found that financial professionals’ comments were the only ones that had a statistically significant predictive effect on the RegRank value of the promulgated rule. [read post]
23 Jun 2014, 2:48 pm
According to the Financial Industry Regulatory Authority (FINRA), both Grainer and Cicolani worked with Prime Solutions Securities beginning in 2010 through 2014 when they were discharged from the firm. [read post]
23 Jun 2014, 1:15 pm
Next up is our star attraction of the day, Justice Scalia with the court’s opinion in Utility Air Regulatory Group v. [read post]
23 Jun 2014, 6:40 am
An Ameriprise Branch OfficeFor 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, Justin M. [read post]
23 Jun 2014, 4:30 am
A report from FINRA’s Office of the Ombudsman describes its role within the non-governmental organization which regulates U.S. brokerage firms and exchange markets, and summarizes the cases and issues received during 2013. [read post]
20 Jun 2014, 1:28 pm
Prior to Miller’s arrest, WTAE.com wrote that Investors Capital reported to the Financial Industry Regulatory Authority (FINRA) that the firm terminated Miller’s employment for “misappropriation of funds, borrowing money from investors, fraudulent investment activity” and “creating false documents. [read post]
20 Jun 2014, 10:14 am
Hana Financial, Inc. v. [read post]
20 Jun 2014, 6:00 am
” In reality, Valente twice filed for bankruptcy and started ELIV Group after the Financial Industry Regulatory Authority (FINRA) permanently expelled him from the broker-dealer industry in 2009 for engaging in misconduct against numerous customers. [read post]
19 Jun 2014, 1:30 pm
The initial rule provided only 30 days to comment, but this has been extended to July 14, 2014 [79 FR 30485] in response to requests from several financial services industry groups. [read post]
19 Jun 2014, 10:57 am
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]
19 Jun 2014, 8:56 am
Consider today's BrokeAndBroker.com Blog.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, Dudley Franklin Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jun 2014, 7:46 am
Consider today's offering in the BrokeAndBroker.com Blog.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, Claus C. [read post]
19 Jun 2014, 7:30 am
According to The Warwick Advertiser “,,,the Financial Industry Regulatory Authority (FINRA) permanently expelled him from the broker-dealer industry in 2009 for engaging in serial misconduct against numerous customers. [read post]
18 Jun 2014, 1:04 pm
In addition to the regulatory action discussed above, Mr. [read post]
18 Jun 2014, 11:29 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]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
18 Jun 2014, 7:08 am
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
17 Jun 2014, 8:32 am
The Financial Industry Regulatory Authority (FINRA) fined the mega-firm $5 million for failing to accurately supervise many of its brokers who were using the terms “indication of interest” and “conditional offer to buy” interchangeably. [read post]
