Search for: "Financial Industry Regulatory Authority"
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26 Nov 2013, 6:00 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Michael A. [read post]
25 Nov 2013, 7:46 pm
This position has already been applauded by the NASAA, which in a statement supporting the recommendation said that: "A fiduciary standard for broker-dealers will guarantee that all financial professionals providing investment advice will act in the best interests of their clients, and in turn, enhance investor confidence in the financial services industry and securities markets." [read post]
25 Nov 2013, 9:23 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, Jeffery Bruce Scharingson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Nov 2013, 6:19 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Wells Fargo Advisors, LLC (Wells Fargo) and imposed a $150,000 fine over allegations that the firm failed to establish, maintain and enforce a supervisory system that was reasonably designed to adequately review and monitor the transmittal of funds from the accounts of customers to third party accounts in violation of NASD Rules 3010, 3012(a)(2)(B)(i) and FINRA Rule 2010. [read post]
25 Nov 2013, 12:12 am
In May 2011, the Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against DLA (subsequently amended to include David Lerner individually). [read post]
22 Nov 2013, 10:13 am
On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool that allows you to review the background of your investment professional. [read post]
22 Nov 2013, 7:40 am
Britain’s new Financial Conduct Authority came into being on April 1, 2013 as part of the new twin peaks regulatory regime under which the Financial Services Authority was replaced by the Financial Conduct Authority and the Prudential Regulation Authority, two new regulators with discrete remits. [read post]
21 Nov 2013, 8:02 am
Zeng (Zeng) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that the broker failed to respond to the regulator’s inquiries concerning at least a dozen customer disputes initiated against the broker. [read post]
20 Nov 2013, 8:30 am
The divisions consist of: · Corporation Finance · Trading and Markets · Investment Management · Enforcement · Risk, Strategy, and Financial Innovation Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that acts as the securities industry watchdog. [read post]
20 Nov 2013, 3:25 am
Consider this BrokeAndBroker Blog.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, Connie Louise Clarke submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Nov 2013, 4:00 am
New York Department of Financial Services et al. [read post]
18 Nov 2013, 3:47 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, Nicholas T. [read post]
18 Nov 2013, 3:46 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Ortiz-Aponte asserted unjust and wrongful discharge, retaliation, defamation and libel, unpaid Christmas bonuses and illegal deduction to his payroll. [read post]
17 Nov 2013, 8:28 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Michael James Blake (Blake) over allegations that Blake engaged in the unlawful sale of securities including, upon information and belief, securities linked to Longest Drive, LLC and Grace Communities, LLC. [read post]
15 Nov 2013, 5:24 pm
FINRA Makes Broker Check Easier to Use The Financial Industry Regulatory Authority (FINRA) announced that it has released an enhanced version of BrokerCheck that allows investors to more quickly access and more intuitively understand the professional background of investment professionals. [read post]
14 Nov 2013, 11:00 am
The Financial Industry Regulatory Authority announced that it sent targeted examination letters asking broker-dealer members about their social media use. [read post]
14 Nov 2013, 10:02 am
Particularmente, con el propósito de entrevistar, contratar y presentar Querellas ante el Financial Industry Regulatory Authority (FINRA) y litigar en los eventuales procedimientos de arbitraje. [read post]
14 Nov 2013, 7:23 am
Since its formation, the task force has made great strides in facilitating increased investigation and prosecution of financial crimes; enhancing coordination and cooperation among federal, state, and local authorities; addressing discrimination in the lending and financial markets and conducting outreach to the public, victims, financial institutions and other organizations. [read post]
14 Nov 2013, 2:14 am
Consider the mess that three registered persons got themselves into when some office files were moved to their homes.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 regul... [read post]
13 Nov 2013, 11:48 am
Cordray commented that the CFPB has no authority to enforce industry best practices, but the CFPB has other tools at its disposal. [read post]
