Search for: "Financial Industry Regulatory Authority"
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9 Sep 2018, 12:54 pm
Fortunately, the Financial Industry Regulatory Authority, FINRA, has released some basic guidance for those of us who struggled to achieve financial wellness. [read post]
17 Apr 2017, 2:44 pm
The Financial Industry Regulatory Authority, known as FINRA, is undergoing a review of internal operations and programs as part of a review process dubbed FINRA 360. [read post]
20 Jul 2018, 12:48 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Feltl & Company (Feltl) broker Todd Meier (Meier) has been discharged for failure to follow firm policies and procedures with regards to interactions with a client. [read post]
28 Aug 2015, 12:06 pm
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 May 2021, 8:50 pm
In that regard, the Working Group discussed the importance of preserving the global asset management industry’s portfolio management delegation model, continuing cooperative efforts to promote the free flow of cross-border financial services data, and the need to avoid regulatory fragmentation and data localization as financial authorities seek to strengthen operational resilience in the financial sector. [read post]
28 Mar 2019, 10:36 am
Sam Aziz – Coastal Securities – Dublin, Ohio According to Letter of Acceptance, Waiver & Consent, on March 27 The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Sam Aziz from the securities industry. [read post]
27 Sep 2016, 7:30 am
Coles Professor of law and of management at the School of Law, has been appointed to the board of the Financial Industry Regulatory Authority (FINRA). [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]
3 Jul 2014, 5:18 am
On June 25, the SEC announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission a national market system plan to implement a targeted 12 month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain small capitalization stocks. [read post]
27 Jan 2015, 5:58 am
This post continues our prior report on the Financial Industry Regulatory Authority’s (FINRA) recently sanctions against Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma including the firm’s supervision of registered representatives, the firm’s suitability processes and procedures, some of the firm’s implemented procedures relating… [read post]
26 Dec 2014, 7:36 am
Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)It's another new year and time to re-visit the nuances involved in entering into an Acceptance, Waiver, and Consent settlement ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
10 Aug 2015, 3:53 am
Maybe they got you -- maybe you just can't afford to fight it -- whatever the reason, the Financial Industry Regulatory Authority ("FINRA") is proposing that you resolve the allegations of violations pursuant to an Acceptance, Waiver, and Consent settlement ("AWC"). [read post]
18 Jan 2018, 7:24 am
Investigating Potential Claims Involving Charles Fackrell and LPL Financial According to the Financial Industry Regulatory Authority (FINRA), a FINRA Dispute Resolution panel has ruled that LPL Financial must pay $462,000 in connection with a Ponzi scheme perpetrated by one of its former brokers. [read post]
1 Aug 2017, 8:14 am
Zullo Barred from the Securities Industry According to the Financial Industry Regulatory Authority, Roger S. [read post]
2 Aug 2017, 3:34 pm
Zullo Barred from the Securities Industry According to the Financial Industry Regulatory Authority, Roger S. [read post]
6 Jan 2022, 12:19 pm
We can determine whether you have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
16 May 2023, 9:18 am
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
6 Jun 2018, 11:13 am
– Glassport, PA According to the Financial Industry Regulatory Authority (FINRA) on June 1, the regulator has barred former broker Ellen Vratoric from the securities industry for allegedly failing to take part in two hearings looking into customer complaints regarding a variable annuity exchange. [read post]
14 Dec 2018, 12:31 pm
Hellman – Merrill Lynch – Boca Raton, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former advisor Christopher C. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
