Search for: "Financial Industry Regulatory Authority"
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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]
15 Aug 2013, 10:40 am
These recent decisions by the REIT’s board follow the Financial Industry Regulatory Authority’s (FINRA) complaint against Thompson involving multiple promissory notes affiliated with Thompson’s firm, TNP Securities. [read post]
13 Aug 2013, 5:39 am
The Financial Industry Regulatory Authority (FINRA) fined UBS $2.5 million in 2011 for omissions and statements made that mislead some investors regarding Lehman Brothers principal-protection notes. [read post]
12 Aug 2013, 9:01 pm
“The preamble to the Convention states that its intention is to provide for the proper conservation of whale stocks and thus make possible the orderly development of the whaling industry. [read post]
12 Aug 2013, 1:58 pm
’s oversight authority for accounting and auditing issued updated guidance for the outside financial audits of entities of all sizes that may be subject to the risks associated with using financial instruments. [read post]
9 Aug 2013, 12:51 pm
The bill explicitly does not confer any new regulatory authority. [read post]
9 Aug 2013, 9:39 am
The Investment Advisers Act of 1940 regulates specified financial professions, including financial planners, money managers, and investment consultants. [read post]
8 Aug 2013, 7:26 am
All of which sets off a cavalcade of compliance disaster.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, DeCarla Mathis submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
8 Aug 2013, 6:23 am
Introduction On July 8, 2013, the US Financial Industry Regulatory Authority, Inc. [read post]
7 Aug 2013, 5:00 am
The authors track the evolution from the early days of email to today. [read post]
7 Aug 2013, 5:00 am
The authors track the evolution from the early days of email to today. [read post]
6 Aug 2013, 1:27 pm
On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for selling unregistered penny stocks and for failing to have implemented an adequate anti-money laundering (AML) program to detect suspicious transactions. [read post]
6 Aug 2013, 10:20 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, Ni Advisors, Inc. and Sui-Hock Goy submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Aug 2013, 9:58 am
According to the Financial Industry Regulatory Authority (FINRA), Mickelson is under investigation for deliberately concealing his outside business activity as a fund manager from the brokerage firm where he was a registered employee. [read post]
5 Aug 2013, 4:11 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 Jeffery Wiseman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Aug 2013, 4:06 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants asserted causes of action including breaches of contract and fiduciary duty, negligence, and negligent supervision in connection with their investments in Jones Soda Co., Nektar Therapuetics, Poniard Pharma, Inc. and Helices Bioscience Corp. [read post]
1 Aug 2013, 4:46 am
Yet another black eye for mandatory Wall Street arbitration.Goldman Sachs Fund Under FireThe federal court for the Eastern District of Pennsylvania recently considered dueling motions to confirm, on the one hand, and to vacate/remand, on the other hand, a Financial Industry Regulatory Authority (“FINRA”) arbitration. [read post]
1 Aug 2013, 3:00 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, Ivy J. [read post]
31 Jul 2013, 5:10 pm
The four plan sponsors are closely affiliated with Lexington-based Revstone Industries LLC and Spara LLC. [read post]
31 Jul 2013, 4:00 am
The Financial Industry Regulatory Authority, the Massachusetts state regulatory body, is scrutinizing nontraditional, illiquid investments that some financial planners are selling to elderly that lack sophistication in investing. [read post]
