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2 Dec 2020, 2:45 am
The Government had argued that Section 1346 should criminalize schemes involving fiduciaries’ undisclosed conflicts of interest, defined as “the taking of official action by [a public official or private] employee that furthers his own undisclosed financial interests while purporting to act in the interests of those to whom he owes a financial duty. [read post]
1 Dec 2020, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
1 Dec 2020, 11:48 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
30 Nov 2020, 5:00 am
Broker-dealers and registered investment advisers are principally regulated by the Financial Industry Regulatory Authority (“FINRA”), the Securities and Exchange Commission (“SEC”), and the states. [read post]
26 Nov 2020, 9:05 pm
Pfizer Inc. and BioNTech requested an emergency use authorization from the U.S. [read post]
25 Nov 2020, 7:01 am
Wilcox, both First Republic Securities stockbrokers, have been named in a $1M Financial Industry Regulatory Authority (FINRA) arbitration claim against the firm over alleged losses from the Harvest Volatility Management Put Writing Strategy (Harvest PWS). [read post]
23 Nov 2020, 9:18 am
FINRA Reportedly Bars Lynn Cawthorne after Alleged Felony Charges According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Lynn Cawthorne on November 16, 2020. [read post]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
5 Nov 2020, 7:35 am
’s V 2.65% $5.3 billion deal to acquire Plaid Inc., a key player in the financial-technology space. [read post]
5 Nov 2020, 2:55 am
’s data privacy regulator, fined Marriott International, Inc. [read post]
29 Oct 2020, 7:36 am
“This review would look at the roles of industry self-regulation, regulators and the government and consider whether the balance is right in promoting competition, innovation, efficiency, resilience and stability of the system. [read post]
28 Oct 2020, 12:51 pm
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
Cynthia Cowden, NPB Financial Advisor, Reportedly Barred after Unsuitable Investment Recommendations
26 Oct 2020, 7:45 am
Financial Advisor Cynthia Cowden, NPB Financial Group in Lake Isabella, CA FINRA Reportedly Bars Cynthia Cowden after Allegations of Unsuitable Investment Recommendations According to the The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred ex-NPB Financial Group advisor, Cynthia Cowden (Cynthia Case) after she allegedly recommended unsuitable high risk, speculative investments to three senior… [read post]
24 Oct 2020, 8:00 am
Timothy Brent Hetrick of Wilder, Idaho submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly refusing to appear for on-the-record testimony requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
24 Oct 2020, 5:00 am
Kwasi Mensah Aggor of Coventry, Rhode Island submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to appear for on-the-record and provide testimony in violation of FINRA Rules 8210 and 2010. [read post]
23 Oct 2020, 2:00 pm
Melissa Ann Niederhauser of Smithfield, Utah submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred for allegedly forging account statements and other documents in violation of FINRA Rules 2150(a) and 2010. [read post]
23 Oct 2020, 9:53 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
23 Oct 2020, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
