Search for: "Financial Industry Regulatory Authority"
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1 Sep 2013, 8:25 am
The NAC affirmed a Financial Industry Regulatory Authority (FINRA) finding that Alan Jay Davidofsky (Davidofsky) engaged in unauthorized trading, excessive trading, and churning in a customer’s account. [read post]
30 Aug 2013, 10:12 am
Specifically, The White Law Group is investigating the liability that the FINRA broker-dealers that employed Dearman may have and whether victims may be able to recover their losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. [read post]
30 Aug 2013, 8:32 am
The Financial Industry Regulatory Authority (FINRA) recently entered a default decision against George Alexander Kardaras (Kardaras) and Brian Matt Borakowski (Borakowski) after having alleged that the two brokers perpetrated a Ponzi scheme. [read post]
30 Aug 2013, 5:56 am
Turo) recently reached a settlement with the Financial Industry Regulatory Authority (FINRA) concerning allegations that he sold unregistered, nonexempt securities through general solicitation of the public in violation of Section 5 of the Securities Act of 1933 and in violation of NASD Rule 2110 and FINRA Rule 2010. [read post]
29 Aug 2013, 6:00 am
Engaging citizens on the specific issue of online privacy, as well as the more general topics I mentioned above, would require the active participation of online service providers such as Google, Facebook, Microsoft; Internet service providers such as Rogers, Bell, Telus; employers; regulatory bodies; industry associations; and many more. [read post]
28 Aug 2013, 11:54 pm
Ross Perlin, the author of Intern Nation, states that “the very significance of the word intern lies in its ambiguity. [read post]
28 Aug 2013, 9:51 am
” On August 16, 2013, a joint advisory was issued by OCIE, the CFTC’s Division of Swap Dealer and Intermediary Oversight, and the Financial Industry Regulatory Authority on business continuity and disaster recovery planning for a wide array of firms. [read post]
28 Aug 2013, 3:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012 and amended thereafter, Claimant Lampert, representing himself in a pro se capacity, ultimately sought $86,752.66 in compensatory damages plus punitive damages, costs, and treble damages arising from a dispute over employment compensation. [read post]
26 Aug 2013, 10:10 pm
For example, while regulatory discussions have long occurred in the financial services industry, questions remain as to how the APA should be applied to these “informal” dialogues. [read post]
26 Aug 2013, 8:58 am
Consider this recent FINRA intra-industry arbitration in which the sole Arbitrator is not one happy camper when it comes to some of the antics pulled by the parties and their counsel.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimant BOSC alleged failure of consideration; breach of warranty; promissory estoppel; and unjust enrichment in connection with the termination of… [read post]
26 Aug 2013, 8:05 am
If so, The White Law Group may be able to help you recover your losses by filing an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2013, 7:42 am
Next time you get yourself all ramped up for the good of your customer, remember this case that I'm about to tell you about.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... [read post]
26 Aug 2013, 2:58 am
In a recent regulatory settlement, a family member seems to have fallen prey to the fraudulent impulses of a brokerage firm employee.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, Laura Anne Dudek submitted a Letter of Acceptance, Waiver and… [read post]
24 Aug 2013, 8:58 pm
The for-profit industry itself has argued for an expansion of regulatory scope to all colleges, presumably not because that would lead to quicker controls on for-profit schools' own operations. [read post]
22 Aug 2013, 6:50 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, Arthur J. [read post]
21 Aug 2013, 2:32 am
On the other hand, as a recent regulatory settlement shows, what you call an additional charge may make all the difference in the world.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, K.C. [read post]
21 Aug 2013, 2:10 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, Russell L. [read post]
19 Aug 2013, 7:05 am
Truong did not flat out reject the notion, she advised that a notice and comment period is not necessary because the Bureau is simply providing courts with its firmly established opinion on an issue over which it has regulatory authority and is “not making law. [read post]
19 Aug 2013, 6:28 am
In the aftermath of Hurricane Sandy, the Securities and Exchange Commission joined the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority in issuing a joint staff advisory on business continuity and disaster recovery planning. [read post]
19 Aug 2013, 6:28 am
In the aftermath of Hurricane Sandy, the Securities and Exchange Commission joined the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority in issuing a joint staff advisory on business continuity and disaster recovery planning. [read post]
