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13 Sep 2013, 6:27 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, Gregory Louis Zerillo submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Sep 2013, 3:47 am
Ahhh, now you're just going to have to read on.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, Craig Thomas Podosek submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Sep 2013, 8:58 pm
In a recent installment of our monthly Law360 column, this time co-authored with our McGuireWoods colleague Helen Suh, we discussed private equity and venture capital activity in the medical device space. [read post]
10 Sep 2013, 8:42 am
Here is the case of one broker who managed to rack up far too many FINRA violations; notwithstanding, it is an impressive game to watch unfold.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, Marcos Leiva submitted a Letter of Acceptance, Waiver and… [read post]
10 Sep 2013, 8:40 am
But the same could have been said about the financial derivatives trade in 2007. [read post]
10 Sep 2013, 3:09 am
Here is one case in which a public customer failed to get off one last play before the final whistle blew.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, and as thereafter amended, public customer Claimant Ferrer asserted causes of action including negligence, breach of contract, unsuitability, and failure to supervise in connection with her invest... [read post]
9 Sep 2013, 1:06 pm
David Mura was recently barred by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of unregistered securities away from his associated brokerage firm. [read post]
9 Sep 2013, 12:05 am
These types of regulatory and prosecutorial actions can be enormously expensive. [read post]
7 Sep 2013, 9:01 pm
First it introduced the student to the problem of democratic accountability for chains of delegated law making authority. [read post]
7 Sep 2013, 1:06 pm
In a letter to CEOs of financial institutions authorized to operate in Hong Kong, the HKMA advised that, if the financial firms conclude that any overseas tax regime changes may have implications for their customers and operations, they should put in place process and controls to ensure compliance and develop good practices through industry collaboration if appropriate. [read post]
7 Sep 2013, 7:42 am
Before investing, investors should also make sure that the person promoting the oil and gas venture is a registered broker with SEC and the Financial Industry Regulatory Authority (FINRA). [read post]
6 Sep 2013, 6:45 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Scottie Brent Chitwood (Chitwood) from the securities industry over allegations that he sold clients variable annuities by making false and misleading representations concerning the securities features. [read post]
5 Sep 2013, 6:00 am
Turker Ergun (Ergun) settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning the sale of private securities and misappropriating customer funds by accepting a bar from the securities industry. [read post]
5 Sep 2013, 5:58 am
Kmetz (Kmetz) was barred by the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of securities away from his member firm involving an elderly customer by accepting a bar from the securities industry. [read post]
4 Sep 2013, 1:07 pm
In November 2012, Neira executed a letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) concerning his sale of investments in Silver Oak. [read post]
4 Sep 2013, 3:14 am
If nothing else, such litigation after death gives a lot of lawyers an opportunity to earn legal fees.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimant GunnAllen Financial, Inc. by and through Soneet R. [read post]
3 Sep 2013, 1:38 am
Falcone also agreed to a five-year ban from the securities industry. [read post]
2 Sep 2013, 1:46 pm
The Financial Industry Regulatory Authority (FINRA) has barred Todd Lloyd Goedeke and Ronald W. [read post]
2 Sep 2013, 11:57 am
Following the first iteration of this story is an UPDATE reflecting recent regulatory action against the member firm for failing to supervise.In response to the filing of a Complaint on September 8, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent David E. [read post]
2 Sep 2013, 8:33 am
(ACGM), and Harold Kenneth Cohen (Cohen) of Palm Beach, Florida, reached a settlement the Financial Industry Regulatory Authority (FINRA) over the firm’s use of certain hedge fund sales material that allegedly failed to fairly present the risks and potential disadvantages of hedge fund investing. [read post]
