Search for: "Financial Industry Regulatory Authority"
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10 Jul 2023, 3:56 pm
Sultan walks us through the wreckage of the American cryptocurrency industry, pausing to note the executive exodus from Binance and the end of the view that cryptocurrency could be squared with U.S. regulatory authorities. [read post]
10 Jul 2023, 9:27 am
Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended financial advisor John Hoidas for 18 months and fined him $40,000 after numerous customers alleged unsuitable investment recommendations. [read post]
10 Jul 2023, 8:26 am
Kovalsky co-authored, “Emerging ‘Securities’ Litigation in Cryptocurrency. [read post]
7 Jul 2023, 9:05 pm
State policies also contain regulatory exemptions. [read post]
7 Jul 2023, 2:13 pm
Efforts to combat healthcare fraud in Texas require collaboration among individuals, healthcare providers, law enforcement agencies, and regulatory bodies. [read post]
7 Jul 2023, 1:28 pm
Attorney’s Office for the District of New Jersey, Financial Industry Regulatory Authority, Army Criminal Investigation Division, Defense Criminal Investigative Service, FBI, and Homeland Security Investigations. [read post]
7 Jul 2023, 1:24 pm
According to the SEC, the transactions were reportedly not authorized by any of his clients or customers, some of whom were “elderly and financially unsophisticated. [read post]
7 Jul 2023, 12:53 pm
FINRA Bars Advisor Helen Caldwell after Allegations of Outside Business Activities The Financial Industry Regulatory Authority, the regulator who oversees brokers and brokerage firms, has reportedly barred financial advisor Helen Caldwell from the securities industry as of July 6, 2023. [read post]
5 Jul 2023, 8:33 am
New guidance on the trading venue perimeter In PS23/11, the FCA has set out new guidance on the regulatory perimeter for trading venues. [read post]
5 Jul 2023, 6:56 am
” Utility Air Regulatory Group v. [read post]
30 Jun 2023, 12:04 pm
A specified hierarchy or authority structure. [read post]
30 Jun 2023, 10:15 am
FINRA Bars Wedbush Broker Jonathan Walter Way after Allegations of Sales Practice Violations On June 26, 2023, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Jonathan Walter Way (CRD#: 1126849) from the securities industry. [read post]
29 Jun 2023, 9:01 pm
This can be attributed partly to the perceived financial crime risks associated with the cryptoasset sector and potentially reflects the FCA’s reservations about the industry. [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
29 Jun 2023, 11:38 am
’s Financial Conduct Authority (“FCA”) will introduce new rules later this year for those marketing cryptoassets to U.K. consumers. [read post]
29 Jun 2023, 8:30 am
FINRA Bars Advisor Randall Skrabonja after Allegations of Selling Away without Firm Approval On June 26, 2023, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Randall Skrabonja (CRD#: 1858245) from the securities industry. [read post]
29 Jun 2023, 6:08 am
For one, in many countries in Africa, there is limited access to courts for interpretation in copyright cases due to limited financial and other resources. [read post]
27 Jun 2023, 8:27 am
The Proposed Guidance also included as an exhibit the OCC’s 2020 FAQs,4 which were released in March 2020 to clarify the OCC’s 2013 guidance and expand to new industry topics and technology developments. [read post]
26 Jun 2023, 10:30 pm
Blockchain for Financial Services Lawyers Explore this practice note to gain an overview of blockchain technology in the United States and regulatory responses to the technology. [read post]
23 Jun 2023, 2:23 pm
This rule focuses on the regulatory oversight and monitoring conducted by the Financial Industry Regulatory Authority (FINRA) to safeguard investors and maintain the integrity of the securities markets. [read post]
