Search for: "Financial Industry Regulatory Authority"
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18 Mar 2014, 11:21 am
Consequently, Berthel Fisher was fined by the Financial Industry Regulatory Authority (FINRA) for failure to supervise in an adequate manner the sale of non-traded real estate investment trusts, as well as leveraged and inverse exchange-traded funds. [read post]
18 Mar 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) has brought a complaint against financial advisor Brian H. [read post]
17 Mar 2014, 6:25 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, David Eckess submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Mar 2014, 6:06 am
All sales efforts are judged by the ethical standards of Financial Industry Regulatory Authority (FINRA) that sets industry wide investment standards. [read post]
16 Mar 2014, 6:07 pm
When carrying out these activities, most covered entities and business associates also will want to take steps to monitor potential responsibilities and exposures under other federal and state laws like the privacy and data security requirements that often apply to personal financial information, trade secrets or other sensitive data under applicable federal and state laws and judicial precedent. [read post]
15 Mar 2014, 1:29 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned financial advisor John H. [read post]
14 Mar 2014, 5:00 am
In today's BrokeAndBroker Blog about a Financial Industry Regulatory Authority ("FINRA") settlement, your first impression is anger at the stockbroker because of the cited misconduct. [read post]
13 Mar 2014, 10:36 am
Slices of life ain't always pretty, and this piece of cake from Wall Street is certainly a particularly unsavory bite.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, public customer Claimant Edmonson asserted causes of action including breaches of contract and fiduciary duty, suitability, failure to supervise, and fraud. [read post]
13 Mar 2014, 8:35 am
Malecki will also be discussing the need for more transparency among our financial regulators like the Securities and Exchange Commission (SEC) as well as the Financial Industry Regulatory Authority (FINRA). [read post]
13 Mar 2014, 6:37 am
Recently, the Financial Industry Regulatory Authority (FINRA) imposed sanctions against Herman Mannings (Mannings), a JP Turner supervisor, concerning allegations that from February 2009, through October 2011, Mannings failed to reasonably supervise the activities of a registered representative to prevent unsuitable mutual fund switching. [read post]
12 Mar 2014, 6:16 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Silver Oak Securities, Inc. [read post]
11 Mar 2014, 4:56 pm
The Financial Industry Regulatory Authority (FINRA) claim alleged that Glover sold failed land deals in Texas real estate to multiple clients without the approval of the brokerage firm where he worked. [read post]
11 Mar 2014, 5:52 am
The Financial Industry Regulatory Authority (FINRA) imposed a permanent bar against Gary J. [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
10 Mar 2014, 6:05 am
Unfortunately, the Decision in this case doesn't do more than fan the flames and produce more smoke.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, Claimant Williams asserted violations of Minnesota Statues § 181: Employment et seq;accounting;breach of contract; conversion; ... [read post]
10 Mar 2014, 6:04 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, Mark E. [read post]
9 Mar 2014, 1:12 pm
Employers considering skinny plans and the brokers, third party administrators (TPAs), insurers and consultants recommending the use of these arrangements alone or as part of a broader health plan design should seek qualified legal advice for help with structuring and implementing these arrangements to avoid potential traps and missteps that could trigger unanticipated benefits, costs and/or tax consequences. [read post]
7 Mar 2014, 4:15 pm
The Director would also be granted the authority to review and change all existing financial assurances via an administrative decision by January 1, 2016. [read post]
7 Mar 2014, 7:47 am
Koogler FINRA (the Financial Industry Regulatory Authority) is soliciting public comment on a proposed rule set (LCFB Rule 14-09) for firms that meet the definition of “limited corporate financing broker” (LCFB). [read post]
7 Mar 2014, 7:40 am
The Financial Industry Regulatory Authority (FINRA) fined SAL Financial Services, Inc. dba Sterne Agee Financial Services, Inc. [read post]
