Search for: "Financial Industry Regulatory Authority"
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5 Jul 2019, 7:36 am
With sixteen years in the securities industry beginning in 1989, Rinfret was previously a registered broker with 16 financial firms, including Seaboard Securities, Inc., which was expelled by the Financial Industry Regulatory Authority (FINRA) in 2011, Bear Stearns & Co., Prudential-Bach Securities, Rinfret Securities, Baird, Patrick, & Co,., and several others. [read post]
30 Jun 2018, 12:48 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Gary Forrest (Forrest) appears to be an agent for Woodbridge fraudulent note sales. [read post]
4 Oct 2022, 7:00 am
Scott has vast experience representing investors in arbitration before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), and NFA (National Futures Association). [read post]
Reverse Convertible Notes and Similar Non-Conventional Investments are Unsuitable for Many Investors
10 Mar 2010, 9:59 am
The Financial Industry Regulatory Authority (FINRA) recently issued its first enforcement action involving the sale of reverse convertibles, in which it reminded the brokerage industry of its suitability obligations. [read post]
17 Feb 2020, 7:29 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
27 Jul 2018, 7:54 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) David Scholl (Scholl) appears to be an agent for Woodbridge fraudulent note sales. [read post]
21 Dec 2022, 7:37 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Apr 2020, 8:56 am
Securities industry rules, enforced by the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc., require that brokerages and investment advisors must make fair and balanced disclosures to clients. [read post]
10 Jun 2020, 1:22 pm
To effectuate the scheme, the complaint alleges that Spartan Securities filed fraudulent applications with Financial Industry Regulatory Authority (FINRA) to publicly list the companies’ common stock and ultimately enable the shares to become free-trading and available to public investors. [read post]
27 Mar 2015, 6:28 am
We will be sharing industry’s reaction to the proposals as well as our thoughts in additional blog posts. [read post]
16 Apr 2021, 8:43 am
The firm acknowledged an inquiry in a regulatory filing last month without elaborating on the specific issues at hand. [read post]
12 May 2017, 4:54 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
12 May 2017, 2:39 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
13 Nov 2014, 9:26 am
Stamer has more than 26 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
3 Dec 2021, 9:49 am
Legal and Regulatory Developments SPOTLIGHT: 6 Ways the EU’s Digital Markets Act Will Change Big TechPYMNTS – November 29, 2021 The European Union’s Digital Markets Act is coming, and Big Tech will never be the same. [read post]
3 Dec 2021, 9:49 am
Legal and Regulatory Developments SPOTLIGHT: 6 Ways the EU’s Digital Markets Act Will Change Big TechPYMNTS – November 29, 2021 The European Union’s Digital Markets Act is coming, and Big Tech will never be the same. [read post]
31 May 2023, 1:44 pm
The insurance industry should take a close look at CBDCs in order to be prepared for the launch. [read post]
16 Jul 2014, 11:06 pm
The reason is that the decision-makers have a stake in the game: “Occupational regulation can be especially problematic when regulatory authority is delegated to a nominally ‘independent’ board comprising members of the very occupation it regulates. [read post]
22 Apr 2007, 4:39 am
She expects congressional fallout, though not necessarily in the direction of increasing state regulatory authority; perhaps there will be a move to increase federal authority over consumer protection. [read post]
21 Sep 2018, 5:00 pm
The Financial Industry Regulatory Authority (FIRNA) has recently warned that scammers are likely to target victims of Hurricane Florence as well as other individuals who donate to storm-related charities and who are seeking to invest in companies that stand to profit from the recovery process. [read post]
