Search for: "Financial Industry Regulatory Authority"
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17 Jun 2014, 5:55 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently ordered Ameriprise Financial Services Inc. [read post]
17 Jun 2014, 3:45 am
Consider these two recent Financial Industry Regulatory Authority disciplinary settlements involving a couple of individuals who got a bit carried away with the travel thing and got caught with their hands in the corporate cookie jar.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financia... [read post]
17 Jun 2014, 3:23 am
All mimsy were the borogoves, and the mome raths outgrabe as two industry parties swung at each other with deadly vorpal swords during a frabjous day of Financial Industry Regulatory Authority ("FINRA") intra-industry arbitration hearings. [read post]
16 Jun 2014, 10:23 pm
A press release from December points out what happens to private companies that are as careless about preserving records as the IRS claims to be: The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years. [read post]
16 Jun 2014, 10:19 am
Keep movin'A (marking at the) Close CaseFor 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, Nicholas Harris Shermeta submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
16 Jun 2014, 7:09 am
On May 6, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Morgan Stanley Smith Barney LLC $5,000,000 for failure to properly supervise the solicitation of retail clients to invest in initial public offerings (IPOs). [read post]
12 Jun 2014, 2:45 pm
Nicholas Parrillo This post is part of an online symposiumdiscussing Nicholas Parrillo, Against the Profit Motive: The Salary Revolution in American Government, 1780-1940(Yale University Press 2013). [read post]
12 Jun 2014, 5:47 am
In recent years, the Financial Industry Regulatory Authority (“FINRA”) has been on a tear about due diligence and the failure to supervise; and, frankly, you can't blame the self-regulatory organization given the recent history of disasters involving both of those issues. [read post]
12 Jun 2014, 5:38 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Investors Capital Corp. [read post]
12 Jun 2014, 5:00 am
History of the Case As part of an industry-wide investigation into certain abuses that contributed to the 2007-2009 financial crisis, the SEC undertook an investigation of Citigroup’s marketing of CDOs. [read post]
11 Jun 2014, 11:45 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]
11 Jun 2014, 8:45 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Commonwealth Financial Network (CFN) $250,000 on allegations that from December 7, 2009 to January 28, 2012, CFN’s supervisory system: (a) failed to subject about 12.6 million outgoing e-mails to daily e-mail surveillance protocol, constituting 90% of the e-mails that the firm’s registered representatives sent through doing business as (DBA) e-mail accounts; and… [read post]
10 Jun 2014, 10:26 am
(Pix (c) Larry Catá Backer 2014)) Corporate social responsibility, both in its traditional forms and in its current international form as as species of human rights, has become an important issue of corporate governance both in the national and international spheres.But the discourse, and the premises underlying it, are usually based on Western models of corporate governance and the structuring of political states and public order. [read post]
10 Jun 2014, 6:34 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Ralph Lord (Lord) concerning allegations that the broker, from 2007 through 2013, engaged in three unapproved outside business activities in violation of NASD Rule 3030 and FINRA Rule 3270, participated in undisclosed private securities transactions, provided inaccurate information on compliance questionnaires, and failed to disclose an unsatisfied judgment. [read post]
10 Jun 2014, 6:20 am
The European Securities and Markets Authority (ESMA), the regulator responsible for enforcing European securities regulation, declared in its ESMA Final Report and Feedback Statement on the Consultation Regarding the Role of the Proxy Advisory Industry in February 2013, to favor a self-regulatory approach over mandatory regulation of the industry. [read post]
6 Jun 2014, 10:16 am
This author knows that all too well, as my small, streaming IPTV clients are so threatened financially by the television networks’ huge copyright infringement litigation campaign (now pending at the U.S. [read post]
6 Jun 2014, 8:55 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, Joseph Eugene Ayers submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Jun 2014, 4:38 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, Clifford Frank Staley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Jun 2014, 2:59 am
The impact on job creation and potential rates payable to local authorities is significant.'We've voiced concerns before about development bottlenecks, which are often caused by legislative delays, ill-considered legislation or [laws] that have unintended consequences.'This, together with an increasingly complex regulatory environment, is restricting the growth of the commercial property sector in the country,' Gopal said.The out-of-date Subdivision of… [read post]
5 Jun 2014, 11:52 am
What is most appalling is that he committed these acts of fraud years after he was permanently barred from dealing in securities by both the SEC and the Financial Industry Regulatory Authority (FINRA). [read post]
