Search for: "Financial Industry Regulatory Authority"
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31 Oct 2013, 8:04 am
The Financial Industry Regulatory Authority (FINRA) filed a civil enforcement action on October 18, 2013 against Bambi Holzer, a formerly registered broker and investment advisor in Beverly Hills, California. [read post]
30 Oct 2013, 9:00 pm
Maarten as financial supervisory authority on the BES islands. [read post]
29 Oct 2013, 4:33 pm
The proposed regulations prescribe a rigorous registration process for portals, handled by both the SEC and the Financial Industry Regulatory Authority (“FINRA”), Wall Street’s self-policing body. [read post]
28 Oct 2013, 10:08 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admit... [read post]
28 Oct 2013, 7:38 am
According to Investment News, well-known Hollywood broker Bambi Holzer is facing charges from the Financial Industry Regulatory Authority (FINRA). [read post]
24 Oct 2013, 10:33 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012 by former employee Claimant Morrison asserted that Respondent Edward Jones & Company, LP. had wrongfully terminated her employment because she had not disclosed on her Uniform Application For Securities Industry Registration Or Transfer (“Form U4”) one unsatisfied lien and one unsatisfied judgment. [read post]
22 Oct 2013, 10:56 am
Rev. 707 (1983), consumer financial protection, see e.g. [read post]
22 Oct 2013, 10:39 am
On the other hand, FINRA may find such mass communications as little more than an opportunity to pull you over to the side, write you up for a host of infractions, and send you on your way much poorer if not much wiser.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… [read post]
19 Oct 2013, 10:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Capstone Asset Planning Company (CAPCO) alleging that from 2010 through 2012, CAPCO distributed communications to the public concerning the Capstone Fund that failed to accurately reflect the change in the fund’s performance. [read post]
18 Oct 2013, 10:55 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, Saxony Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Oct 2013, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred broker Jerry McGlothlin from associating with any member firm for engaging in outside business activities, engaging in private securities transactions, providing false responses on annual compliance questionnaires, and failing to respond to FINRA requests for information. [read post]
18 Oct 2013, 4:18 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, Steven Lee Goldberg submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Oct 2013, 3:54 am
Look, up in the sky, it's a bird, it's a plane, no . . . it's a kite with a tail of lousy checks attached to it.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 ... [read post]
18 Oct 2013, 3:17 am
Consider yet another case in which elderly customers fall prey to unscrupulous practices.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, James Arnold Busch submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Oct 2013, 11:18 pm
Don't start counting your chickens until you ask yourself these questions: (1) Are you pursuing the correct regulatory approval, (2) Are you at the correct agency; and (3) Does the person you spoke to have authority to speak for the agency? [read post]
17 Oct 2013, 6:39 pm
It is more important now than ever for strategic and financial buyers who are contemplating investment in the urgent care market, or who are current owners and operators of urgent care facilities, to work with experienced health care regulatory counsel. [read post]
17 Oct 2013, 8:41 am
Securities and) Exchange Commission, que es un foro que se llama Finra (Financial Industry Regulatory Authority). [read post]
17 Oct 2013, 4:00 am
” Currently, the CFPB has authority to supervise student loan servicing by large banks and their service providers. [read post]
16 Oct 2013, 7:19 am
As reported by BrokeAndBroker, the consequences of late or non-disclosure of liens and judgments can be serious -- if not devastating to a career on Wall Street.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, Irfan Ahmad Nagi submitted a Letter of… [read post]
14 Oct 2013, 9:30 pm
The post is part of a three-part series on The Continuing Debate Over Regulatory Incorporation. [read post]
