Search for: "Financial Industry Regulatory Authority"
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31 Jan 2014, 6:35 am
(Hogue) has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) concerning allegations that Hogue participated in an outside business activity without providing written notice to Cambridge Investment Research (Cambridge) his employing brokerage firm in violation of FINRA rules. [read post]
31 Jan 2014, 2:10 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, Scott A. [read post]
30 Jan 2014, 4:33 pm
” Executive-branch officials receive annual reports summarizing the Board’s regulatory activities. [read post]
29 Jan 2014, 10:02 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Jamie Diaz (Diaz) concerning allegations that form December 2009, through November 2011, Diaz engaged in securities fraud through deceptive and manipulative devices to convert approximately $850,000 from four customers. [read post]
28 Jan 2014, 6:33 am
According to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, from October 2006 through December 2011, George J. [read post]
27 Jan 2014, 10:53 am
The Financial Industry Regulatory Authority (FINRA) underlines that in a down market, the securities that are used as collateral also tend to decline in value. [read post]
27 Jan 2014, 5:24 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, John Lucas submitted ... [read post]
25 Jan 2014, 3:00 am
By way of background, the U.S. is a member of the Financial Action Task Force (FATF), an inter-governmental body that "set[s] standards and promote effective implementation of legal, regulatory and operational measures for combating money laundering, terrorist financing and other related threats to the integrity of the international financial system." [read post]
24 Jan 2014, 2:16 pm
To the extent that some brokerage firms failed to perform the necessary due diligence and/or made unsuitable investment recommendations, such firms may be liable for investment losses through arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jan 2014, 7:50 am
The Senior Supervisors Group includes senior supervisory authorities of major financial services firms in a number of countries, including, in addition to the SEC and the Fed in the U.S., the Prudential Regulation Authority in the U.K. [read post]
24 Jan 2014, 6:28 am
Brokers Howard Allen (Allen), Joseph McGowan (McGowan), and Peter Pak (Pak) have settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning allegations that the brokers, while employed by J.P. [read post]
23 Jan 2014, 7:25 am
The Financial Industry Regulatory Authority (FINRA) recently issued a “Report on Conflicts of Interest” that focused on enterprise-level frameworks to identify and manage conflicts of interest; approaches to handling conflicts of interest distributing new financial products; and approaches to compensating their associated persons. [read post]
23 Jan 2014, 2:00 am
The Financial Industry Regulatory Authority (FINRA), the successor to the National Association of Securities Dealers, Inc. [read post]
22 Jan 2014, 5:53 am
(Rives) was recently sanctioned by the the Financial Industry Regulatory Authority (FINRA) over allegations that the firm disseminated to the investing public 29 advertisements including newspapers, brochures, offering documents, and pastor letters related to church bond investments that failed to comply with FINRA’s advertising rules. [read post]
22 Jan 2014, 2:38 am
And, just as usual, FINRA comes down on the lowly sales assistant when things go awry.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, Magnolia Gaerlan submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 Jan 2014, 3:17 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 3:13 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 3:07 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 2:50 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 2:37 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
