Search for: "Financial Industry Regulatory Authority"
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10 Jan 2014, 12:19 pm
Concerns about privacy practices in the data broker industry, and the privacy implications about the lack of transparency “behind-the-scenes,” will remain a topic of intense regulatory and legislative focus in 2014. [read post]
10 Jan 2014, 6:04 am
(Lincoln Financial) was suspended by The Financial Industry Regulatory Authority (FINRA) over allegations that Thomas engaged in unauthorized and/or improper discretionary penny stock trading, engaged in unsuitable penny stock trading, and mismarked the trade tickets for penny stock transactions as unsolicited, when they were solicited trades. [read post]
10 Jan 2014, 2:34 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, Jesse Chandler Skirvin submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
9 Jan 2014, 12:21 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority intends to field an enforcement team tasked with focusing on brokers whose records show patterns of complaints or sales abuses. [read post]
8 Jan 2014, 5:37 am
Broker Christopher Orlando (Orlando) was suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Orlando participated in the sale of approximately $7,000,000 in private securities transactions of promissory notes linked to Diversified Lending Group (DLG) that were not made through his member firm PlanMember Securities Corporation (PlanMember). [read post]
7 Jan 2014, 6:10 am
On December 13, 2013, Financial Industry Regulatory Authority Inc. [read post]
6 Jan 2014, 8:30 pm
Corporate autonomy is central to a business planning model in which assets and operations may be insulated from regulatory agencies whose power can extend no father than their territorial borders or to the global operations of entities over which they may assert regulatory authority. [read post]
6 Jan 2014, 6:14 pm
According to the Financial Industry Regulatory Authority, Hall was a registered broker with AXA Advisors from 01/2007 – 01/2011, and with The O.N. [read post]
6 Jan 2014, 2:31 pm
According to the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
6 Jan 2014, 7:42 am
Broker James Arnold Busch (“Busch”) was barred from the broker industry by The Financial Industry Regulatory Authority (FINRA) over allegations that Busch engaged in securities fraud by misappropriating customer funds from approximately 8 different clients’ bank accounts. [read post]
6 Jan 2014, 3:13 am
Given those personality quirks of mine, I found the Financial Industry Regulatory Authority ("FINRA") arbitration discussed in today's BrokeAndBroker Blog to be interesting for three reasons:there’s the whole issue of whether Respondent Pan Interactive Brokers refused to execute a trade;there’s the even more intriguing question of whether the Respondent erroneously liquidated calls instead of puts; and,finally, how could you not be intrigued… [read post]
3 Jan 2014, 8:44 am
(“Saxony”) was recently fined $15,000 over allegations by The Financial Industry Regulatory Authority (FINRA), the regulator of securities broker-dealers, that Saxony failed to establish and maintain a supervisory system, including written procedures, regarding the sale of leveraged or inverse exchange-traded ETFs that was reasonably designed to achieve compliance with the FINRA rules. [read post]
2 Jan 2014, 4:28 pm
William Watson, “Stay Off the Fast Track: Why Trade Promotion Authority Is Wrong for the Trans-Pacific Partnership,” Cato Institute Free Trade Bulletin No. 56, December 19, 2013: http://object.cato.org/sites/cato.org/files/pubs/pdf/ftb56.pdf2/4Trade Law and Institutions (Global)World Trade Organization, Information and External Relations Division, “Understanding the WTO,” 2011: http://www.wto.org/english/thewto_e/whatis_e/tif_e/understanding_e.pdf (pp 1-26).Jeanne… [read post]
2 Jan 2014, 4:28 pm
William Watson, “Stay Off the Fast Track: Why Trade Promotion Authority Is Wrong for the Trans-Pacific Partnership,” Cato Institute Free Trade Bulletin No. 56, December 19, 2013: http://object.cato.org/sites/cato.org/files/pubs/pdf/ftb56.pdf2/4Trade Law and Institutions (Global)World Trade Organization, Information and External Relations Division, “Understanding the WTO,” 2011: http://www.wto.org/english/thewto_e/whatis_e/tif_e/understanding_e.pdf (pp 1-26).Jeanne… [read post]
2 Jan 2014, 5:40 am
(SII) was recently suspended for two years and fined $60,000 by The Financial Industry Regulatory Authority (FINRA) over allegations that Renard: (1) recommended that at least four customers buy and hold nontraditional ETFs without having reasonable grounds for believing that the recommended investments were suitable for those customers; (2) distributed at least nine independently prepared reprints to customers without Ameriprise’s review and approval;… [read post]
31 Dec 2013, 5:47 am
A InvestmentNews article recently highlighted the efforts of two U.S. senators that have asked the Financial Industry Regulatory Authority (FINRA) to provide new details on the process that allows brokers to clean their disciplinary records of customer complaints. [read post]
30 Dec 2013, 6:33 am
Isaacs (Issacs) of Investors Capital Corporation (ICC) was recently suspended and sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that Isaacs made negligent material misrepresentations of fact in connection with the unsuitable sale of two private placements to ICC customers. [read post]
30 Dec 2013, 1:45 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, Jason Goldstein submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Dec 2013, 9:49 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]
23 Dec 2013, 11:01 am
Maurice Joseph Chelliah (Chelliah) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that Chelliah converted $90,000 from two World Group Securities, Inc. [read post]
