Search for: "Financial Industry Regulatory Authority"
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17 Jun 2013, 10:44 am
Consider the ramifications to one Wall Street employee's career when the sender may not have been the customer.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, Jennifer Marie Burton submitted a Letter of Acceptance, Waiver and Consent… [read post]
17 Jun 2013, 10:41 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, Keith Dow Powell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Jun 2013, 9:43 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it expects to send a proposal to the SEC to make it easier for registered representatives to clear their record of black marks. [read post]
17 Jun 2013, 8:50 am
If you go by some recent cases, it seems like having all that cash around is just too much a temptation for some folks.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 Bruce Grunwerg submitted a Letter of Acceptance, Waiver and Consent… [read post]
17 Jun 2013, 7:30 am
The SEC and the Financial Industry Regulatory Authority (FINRA) issued a warning to investors about a sharp increase in e-mail linked to "pump-and-dump" stock schemes.The investor alert entitled Inbox Alert - Don't Trade on Pump-And-Dump Stock E-mails notes that the latest McAfee Threats Report confirms a steep rise in spam e-mail linked to bogus "pump-and-dump" stock schemes designed to trick unsuspecting investors. [read post]
17 Jun 2013, 3:00 am
The legal and regulatory businesses of the major legal publishers were created by acquiring dozens of small, medium and large legal publishing companies and merging their operations. [read post]
16 Jun 2013, 9:30 pm
That is the vision of a drug regulatory system powered by big data. [read post]
14 Jun 2013, 12:53 pm
SRMC did not have a written authorization from the patient to share this information with SRMC’s entire workforce and medical staff. [read post]
14 Jun 2013, 12:00 am
Department of Agriculture (USDA).The Consumer Financial Protection Bureau (CFPB) provided exemptions for certain creditors for Regulation Z which implements the Truth in Lending Act.The U.S. [read post]
13 Jun 2013, 7:05 pm
Lakey and the interpretation of Casey in the Eighth Circuit’s recent decisions reviewing other informed consent requirements; and (3) whether Casey requires state courts to presume all state regulations of abortion are unconstitutional under federal law, absent controlling authority from this Court. [read post]
13 Jun 2013, 3:05 pm
Broker-dealers are required by the Financial Industry Regulatory Authority (FINRA) to sell private placements only to accredited investors that meet suitability standards. [read post]
12 Jun 2013, 4:47 am
On June 11, 2013, Dan Jamieson of InvestmentNews appears to have broken the story that the Financial Industry Regulatory Authority's ("FINRA's") District 7 Regional Director Mitch Atkins had resigned. [read post]
12 Jun 2013, 3:35 am
All that I can tell you is that it's not a pretty sight.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, Anthony David Brentin, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Jun 2013, 3:29 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, Stephen Blair Sherwood submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Jun 2013, 3:19 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, Jon Eric Guay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Jun 2013, 9:04 am
And, finally, you got a nightmare of Wall Street regulatory and compliance problems, as this recent case shows.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, Warren L. [read post]
11 Jun 2013, 8:16 am
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
10 Jun 2013, 3:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011, Claimant Lehman Brothers asserted breach of contract and unjust enrichment (the latter cause of action was withdrawn at the hearing) in connection with its efforts to collect on an alleged balance due on a promissory note with its former employee, Respondent Mullen. [read post]
7 Jun 2013, 11:56 am
A different tune came from Congressman Jim Sensenbrenner, the author of the PATRIOT Act. [read post]
6 Jun 2013, 9:37 pm
Chamber of Commerce, recommended the adoption of industry best practices and core principles. [read post]
