Search for: "Financial Industry Regulatory Authority"
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12 Nov 2013, 6:12 am
The Financial Industry Regulatory Authority (FINRA) suspended broker James Glenn Tallant (Tallant) for three months and fined him $15,000 including the disgorgement of $8,560.44 in commissions. [read post]
11 Nov 2013, 2:36 pm
According to a Financial Industry Regulatory Authority (FINRA) complaint, Hunsinger caused over 80 transfers, generally in $15,000 increments on a monthly basis. [read post]
11 Nov 2013, 1:03 pm
What the U.N. structure and the structure of public and international organizations, some of which also had legislative authority as well, added was a verticality to the structures of polycentricity. [read post]
11 Nov 2013, 6:06 am
(Matthews) were recently suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that Pizzuti failed to adequately inquire into Richard’s Pizzuti (Richard) and Daniel Voccia’s (Voccia) outside business activities and involvement in private securities transactions despite his knowledge of their activities. [read post]
10 Nov 2013, 11:45 am
The current U.K. asset management regulatory regime is neither sufficiently transparent nor accountable, noted Martin Wheatley, Chief Executive of the Financial Conduct Authority. [read post]
8 Nov 2013, 6:02 am
The Financial Industry Regulatory Authority (FINRA) Arbitration Panel has awarded damages to investors in the amount of $1.2 million in compensatory damages and cost of fees associated with the arbitration. [read post]
7 Nov 2013, 5:32 pm
That should open up additional potentially useable sites that aren’t available given the current regulatory constraints. [read post]
7 Nov 2013, 10:33 am
Perhaps it’s no surprise that this is best illustrated in the car rental industry, where there already exists a financial “pull” and a regulatory “push” towards greener and more sustainable models of service provision. [read post]
7 Nov 2013, 8:05 am
BrokerCheck is a free online database provided by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Nov 2013, 6:11 am
The Financial Industry Regulatory Authority (FINRA) has barred broker Richard Manchester (Manchester) over allegations that his participation in several private placements caused his employing firm to fail to establish an escrow account for several contingency offerings, broke escrow before the minimum contingency amounts were met, and made unauthorized use of offering proceeds by lending offering proceeds to other private placements. [read post]
7 Nov 2013, 3:26 am
In today's Broke And Broker Blog, we have the case of a broker who may have asked his sales assistant to go just a little too much above and a little too far beyond.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, Thomas S. [read post]
6 Nov 2013, 9:54 pm
Brokers and portals will be regulated by the SEC and the Financial Industry Regulatory Authority (FINRA), according to POLITICO. [read post]
6 Nov 2013, 7:42 am
The Financial Industry Regulatory Authority (FINRA) has acknowledged that leveraged ETF carry significant risks and are inherent complexity of the products. [read post]
6 Nov 2013, 5:37 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, Michael J. [read post]
5 Nov 2013, 1:56 pm
The Financial Industry Regulatory Authority (FINRA), the securities industry watchdog, provides the largest arbitration forum to resolve securities disputes. [read post]
5 Nov 2013, 7:46 am
According to BrokerCheck Report, the Financial Industry Regulatory Authority (FINRA), revoked Aletheia’s broker dealer licensed and expelled the company from FINRA membership in August of 2013. [read post]
5 Nov 2013, 4:25 am
In a recent FINRA settlement, the fact pattern is somewhat summed up by this refrain:Truckin, I'm a goin' home. whoa whoa baby, back where I belong,Back home, sit down and patch my bones, and get back truckin on.Hey now get back truckin' home.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,… [read post]
4 Nov 2013, 5:18 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred broker Mark Christopher Hotton (Hotton) alleging that the broker engaged in numerous and repeated frauds including forgery, falsification of documents, conversion, misuse of funds, manipulating account records, churning, unauthorized trading, false testimony, and providing false information and documents to FINRA. [read post]
1 Nov 2013, 10:21 am
In the end, the wife's Roth IRA was a tad lighter and the marriage, well, that was worse for the wear.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, Victor R. [read post]
1 Nov 2013, 7:40 am
Thompson was replaced by Andrew Batinovich in August after the Financial Industry Regulatory Authority (FINRA) filed a complaint against Mr. [read post]
