Search for: "Financial Industry Regulatory Authority"
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8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
8 Apr 2014, 3:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, Claimant Citigroup Global Markets, Inc. asserted breach of contract for failure to pay the balance due on a promissory note. [read post]
5 Apr 2014, 1:41 pm
A full list of exemptions is set forth under Sections 22050 – 22065 of the California Financial Code, providing relief from CFLL regulation for other types of transactions and specific entities licensed by other regulatory agencies. [read post]
5 Apr 2014, 6:12 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
4 Apr 2014, 4:33 am
In today's BrokeAndBroker.com Blog, we encounter a two-time loser with a somewhat creative approach to turning lemons into lemonade.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, John Charles Tib... [read post]
4 Apr 2014, 3:27 am
Cohen stated before the Senate Committee on Banking that under his direction, FinCEN is looking at ways to bring monetary penalties and industry participation injunctions against individuals for BSA violations. [read post]
4 Apr 2014, 2:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
3 Apr 2014, 7:37 am
It may sound like a good idea to the many who anticipate the evolution of our monetary system, but organizations such as the Financial Regulatory Authority (FINRA) and the Securities Exchange Commission have offered up warnings pertaining to Bitcoin. [read post]
2 Apr 2014, 5:39 am
On December 11, 2013, the Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael T. [read post]
1 Apr 2014, 11:15 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]
1 Apr 2014, 5:42 am
This post continues our investigation into the recent bar of broker William (Bill) Tatro by the Financial Industry Regulatory Authority (FINRA) and his relationship with Mary Helen Caprice Mallett (Mallett), Tatro’s wife, colleague, and business partner. [read post]
1 Apr 2014, 3:17 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, Wan Soo Kim submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
31 Mar 2014, 12:01 pm
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]
31 Mar 2014, 8:07 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Allen B. [read post]
31 Mar 2014, 4:15 am
In today's BrokeAndBroker.com Blog, we follow the story of a stockbroker who may have entered into tepid water only to find himself in a boiling compliance and regulatory mess.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 2012 regulatory hearing, and without an adjudication of any issue, Jeffrey Carter… [read post]
30 Mar 2014, 9:50 pm
” The experience of the FSA, now reconstituted as the Financial Conduct Authority (FCA), is worth heeding. [read post]
30 Mar 2014, 10:29 am
As with most good stories, this one combines aspects of the tragic with comic when the registered person attempts to impersonate his customer during a telephone call to another brokerage firm.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, Brandon L. [read post]
28 Mar 2014, 6:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Matthew Westfall (Westfall) concerning allegations that from June 2011, through December 2012, while associated with the National Planning Corporation (National Planning), Westfall engaged in business activities outside the scope of his employment with the Firm. [read post]
27 Mar 2014, 2:45 pm
If your brokerage firm failed to perform the necessary due diligence or overlooked suitability requirements, they can be held liable for investment losses through a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
27 Mar 2014, 12:14 pm
According to a news release dated March 24, 2014, the Financial Industry Regulatory Authority (FINRA) announced that LPL Financial has been fined $950,000 for the firm's failures in supervision over alternative investments, including non-traded REITs, oil and gas partnerships, business development companies, hedge funds, managed futures and other illiquid pass-through investments. [read post]
