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29 Apr 2014, 12:13 pm
Today on world book and copyright day we acknowledge the contributions of creative artists of every kind all over the world especially our local authors. [read post]
29 Apr 2014, 12:13 pm
Today on world book and copyright day we acknowledge the contributions of creative artists of every kind all over the world especially our local authors. [read post]
29 Apr 2014, 7:16 am
The Financial Industry Regulatory Authority (FINRA) has also clamped down on inappropriate sales of oil and gas ventures. [read post]
28 Apr 2014, 12:00 pm
In addition to the expansion project, the Panama Canal Authority procures over $200 million in goods and services annually for its daily operations and maintenance. [read post]
28 Apr 2014, 10:23 am
Many in the health care industry view the rejection of the Pilot Program as a rather unfortunate outcome, as the for-profit turnaround players with deep pockets and the requisite operational expertise might have been welcomed by the many financially distressed hospitals in New York. [read post]
28 Apr 2014, 8:17 am
The Financial Industry Regulatory Authority (FINRA) recently fined Colorado Financial Service Corporation (Colorado Financial) concerning allegations that the firm violated NASD Rule 3010, and FINRA Rule 2010, among other violations, by failing to establish, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with the securities rules pertaining to the supervision of electronic communications and due diligence… [read post]
27 Apr 2014, 12:57 pm
“Encrypt your laptops and other mobile devices” is only one of the key lessons leaders of health plans, health care providers, health care clearinghouses (“Covered Entities”) and their business associates should take away from the Department of Health and Human Services Office for Civil Rights (OCR)’s April 22 announcement that Concentra Health Services (Concentra) and QCA Health Plan, Inc. of Arkansas (QCA)… [read post]
25 Apr 2014, 8:35 am
That move, however, didn’t sit well with the Financial Industry Regulatory Authority, the private corporation that is the brokerage industry’s self-financed policing arm. [read post]
25 Apr 2014, 8:02 am
Regardless of whether the highest court grants certiorari and agrees to hear the appeal, the fact pattern does not represent a glowing endorsement of Wall Street's mandatory customer arbitration.In The BeginningIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2008, public customer Stone asserted causes of action including fraud, breaches of contract and fiduciary duty, and unsuitability in… [read post]
25 Apr 2014, 6:30 am
On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
25 Apr 2014, 2:26 am
It's that last ingredient that sort of messes this all up.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, David Diehl, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
24 Apr 2014, 6:51 am
On March 12, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it sanctioned and fined Triad Advisors and Securities America, $650,000 and $625,000, respectively, for failing to supervise the use of consolidated reporting systems, after brokers from the firms inaccurately represented the value of some customer holdings, often inflating their overall worth. [read post]
23 Apr 2014, 10:01 pm
“We do believe that, with appropriate focus and prioritization, the FSMA rules can be implemented without placing additional financial burdens on the food and beverage industry. [read post]
21 Apr 2014, 6:41 am
On Monday, April 14, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it would lift the hold that it had put on some cases related to the collapse of Puerto Rico Bond Funds. [read post]
21 Apr 2014, 3:39 am
As one author put it, high frequency trading may be “mysterious and secretive, but not at all evil. [read post]
17 Apr 2014, 1:05 pm
Brokers-dealers that make unsuitable investment recommendations or fail to perform adequate due diligence may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Apr 2014, 11:22 am
Today's BrokeAndBroker Blog examines what happens when a stockbroker borrows from a customer but doesn't follow the rules.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 a... [read post]
17 Apr 2014, 11:15 am
An arbitral award in March 2014 by Financial Industry Regulatory Authority (FINRA) ordered Signator Investors, Inc., a firm aligned with the John Hancock Financial Network, to pay an older couple and their elderly mother's estate $1.2 million for losses arising... [read post]
16 Apr 2014, 6:06 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, Paula Denise Downing submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Apr 2014, 1:23 pm
The problems within Ontario’s youth labour market are structural and chronic, rather than a result of the fallout from the global financial crisis.Thanks Dalton! [read post]
