Search for: "Financial Industry Regulatory Authority"
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23 Dec 2013, 3:20 am
And then, on top of everything else, there are those dyspeptic regulators.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, Brian S. [read post]
23 Dec 2013, 2:58 am
And then we got the self-regulatory organization Financial Industry Regulatory Authority ("FINRA") giving what looks to be little more than a relatively half-hearted slap on the wrist to the registered representative.For the purpose of proposing a settlement of rule violations alleged by FINRA, without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Cox submitted a Letter of… [read post]
23 Dec 2013, 2:21 am
In the end, the transaction turns out to be a 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 regulatory hearing, and without an adjudication of any issue, Pamela J. [read post]
20 Dec 2013, 7:59 am
Broker David Charles Kauffman (Kauffman) was recently barred by The Financial Industry Regulatory Authority (FINRA) over his failure to respond to FINRA’s investigation over allegations that he engaged in personal private securities transactions, used unapproved email addresses, and introduced clients to individuals associated with non-approved investment opportunities. [read post]
20 Dec 2013, 6:57 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. [read post]
19 Dec 2013, 6:48 pm
”[9] Regulatory authorities are also part of this refinement. [read post]
19 Dec 2013, 7:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011, Claimant UBS Financial Services Inc. alleged a breach of promissory note by Respondent Atlas and sought $497,844.23 in compensatory dam... [read post]
19 Dec 2013, 5:44 am
Broker Joseph Anthony Giordano (Giordano) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he participated in the distribution of unregistered debentures issued by Empire Corporation, a Maryland corporation (Empire Debentures) to customers of Capital Investment Group, Inc. [read post]
19 Dec 2013, 2:22 am
Customer disputes and litigation have an after life, as today's BrokeAndBroker blog explains.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 Hepwo... [read post]
18 Dec 2013, 9:22 am
In order to sell securities in the US broker dealer are required to register with FINRA, the Financial Industry Regulatory Authority. [read post]
HFP Capital Markets’ Employees Sanctioned Over Metals Millings and Mining Private Placement Offering
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
17 Dec 2013, 7:15 am
In his prepared remarks on the lawsuit, Director Cordray called the filing “a significant step in the Consumer Bureau’s efforts to address regulatory evasion schemes that are increasingly becoming a feature of the online small-dollar and payday lending industries. [read post]
16 Dec 2013, 8:54 am
Today's BrokeAndBroker Blog is about a minor failure to follow the rules but, nonetheless, a shortcoming that resulted in a fine and suspension.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… [read post]
16 Dec 2013, 8:15 am
Now it's all in the past but you're still left with a mess of a career.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, Gary J. [read post]
16 Dec 2013, 6:27 am
Autorité des marchés financiers, 2013 SCC 63, R. v. [read post]
16 Dec 2013, 4:53 am
Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. [read post]
15 Dec 2013, 5:45 pm
” Moreover, because global financial institutions can park their higher risk operations almost anywhere, some nations can profit from regulatory arbitrage by keeping their regulatory controls laxer than in the more financially developed nations (which bear the principal share of the costs from financial contagion). [read post]
15 Dec 2013, 4:46 am
There are certainly examples in other industries where consortia of NGOs and individuals have taken up the opportunity to own shares in companies as a means of holding them to account ethically, including the oil and arms industries. [read post]
12 Dec 2013, 4:41 pm
” The Committee of Ministers has led the way in drawing attention to the importance of media ownership transparency and urging member states to “adopt any regulatory and financial measures called for in order to guarantee media transparency”. [read post]
11 Dec 2013, 9:37 pm
Industry specific regulations may be applied in addition to these controls to supplement and address security risks and threats in high impact information systems using cloud services (e.g.: Highly confidential business data, financial records, medical records). [read post]
