Search for: "Financial Industry Regulatory Authority"
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27 Mar 2014, 5:54 am
The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for Limited Corporate Financing Brokers (LCFBs). [read post]
27 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and fined Hantz Financial Services, Inc. [read post]
26 Mar 2014, 9:55 pm
The turmoil in the financial sector during the recent crisis encouraged some industry experts to move to the SEC, and their knowledge, Paredes said, has contributed to improving the Commission’s regulatory capacity. [read post]
26 Mar 2014, 6:13 am
The law offices of Gana LLP recently filed a complaint with the Financial Industry Regulatory Authority (FINRA) on behalf of a former NFL athlete alleging that the brokerage firm Resource Horizons Group LLC (Resource Horizons) failed to supervise Robert Gist (Gist), one of the firm’s associated persons. [read post]
26 Mar 2014, 6:00 am
Sacks is a partner in the Financial Institutions Advisory & Financial Regulatory Group at Shearman & Sterling LLP. [read post]
25 Mar 2014, 7:22 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) is investigating the $3.5 billion of general obligation bonds that Puerto Rico sold on March 11, 2014. [read post]
25 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker William (Bill) Tatro, formerly registered with First Allied Securities, Inc. [read post]
24 Mar 2014, 4:50 pm
According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately supervise the sale of alternative investment. [read post]
24 Mar 2014, 3:04 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]
24 Mar 2014, 1:13 pm
The Financial Industry Regulatory Authority (FINRA) recently proposed a new data system called the Comprehensive Automated Risk Data System (CARDS). [read post]
24 Mar 2014, 9:10 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, Claimant Fintegra alleged that former employee Respondent Lamb had breached the non-solicitation provision in his Fintegra employment agreement and that Respondent Hennion & Walsh had aided, abetted and conspired with Lamb. [read post]
21 Mar 2014, 9:49 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Hernandez over allegations that he wired money from a clients fee-based brokerage account to a bank without the clients permission. [read post]
21 Mar 2014, 9:48 am
According to the South Florida Business Journal, the Financial Industry Regulatory Authority (FINRA) permanently barred former Miami broker, Bruce F. [read post]
21 Mar 2014, 9:36 am
Authorities said Rabenold failed to disclose meals and gifts he provided to Ohio lawmakers on his filings in 2010, as the payday lenders tried to hold back efforts to pass tighter regulations on the industry. [read post]
21 Mar 2014, 5:58 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Edward D. [read post]
20 Mar 2014, 5:35 am
The Financial Industry Regulatory Authority (FINRA) ordered J.P. [read post]
19 Mar 2014, 1:14 pm
Gould On March 10, 2014, Financial Industry Regulatory Authority, Inc. [read post]
19 Mar 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]
19 Mar 2014, 9:14 am
Gould On March 10, 2014, Financial Industry Regulatory Authority, Inc. [read post]
18 Mar 2014, 1:37 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]
