Search for: "Financial Industry Regulatory Authority"
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6 Jun 2013, 3:43 pm
For Help With Compliance, Risk Management, Investigations, Policy Updates Or Other Needs If you need help with HIPAA and other health and health plan related regulatory policy or enforcement developments, or to review or respond to these or other human resources, employee benefit, or other compliance, risk management, enforcement or management concerns, the author of this update, attorney Cynthia Marcotte Stamer may be able to help. [read post]
6 Jun 2013, 11:07 am
A recent cross-industry survey of 1000 whistleblowers by the UK nonprofit Public Concern at Work and law firm Slater & Gordon offers timely validation of this problem: 77% of whistleblowers in the financial services industry were ignored and 42% fired outright – higher percentages than in any other industry.[3] ‘’This survey throws up few surprises,” says Slater & Gordon partner Clive Howard. [read post]
4 Jun 2013, 7:48 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined two firms a total of $2.15 million and ordered the firms to pay more than $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds. [read post]
4 Jun 2013, 7:26 am
We may never have the answers to those questions but this case prompts us to wonder what was going on behind the scenes.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2009 and amended thereafter in January 2010 and February 2010, associated person Claimant Gomez asserted causes of action including employment discrimination, wrongful termination; breach of contract; libel; failure to supervise; and… [read post]
3 Jun 2013, 10:11 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, Huel Cox, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Jun 2013, 9:30 pm
Nonetheless, the CFPB sits in a regulatory space it shares with other regulators; even its ostensibly “exclusive” rulemaking authority is subject to oversight, consultation, and coordination. [read post]
2 Jun 2013, 1:50 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) maintains BrokerCheck, an online database that enables anyone to quickly obtain a summary background report about virtually any stockbroker. [read post]
30 May 2013, 2:19 pm
The sheer size of the industry increases the chances that somebody will find a way to make the exemption workable and cost-effective. [read post]
30 May 2013, 11:00 am
Definitions: Adds definitions to DFARS 202.101 for the terms “counterfeit part,” “electronic part,” “legally authorized source,” and “suspect counterfeit part. [read post]
29 May 2013, 7:51 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, Stanley L. [read post]
29 May 2013, 5:08 am
Keep movin'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, Richard R. [read post]
29 May 2013, 4:21 am
Notwithstanding, it is critical to timely update your Form U4 to disclose such financial events.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, Dennis Joseph Snyder submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
28 May 2013, 3:37 pm
Morgan Stanley DW, Inc. which said a Financial Industry Regulatory Authority panel exceeded its authority when it dismissed arbitral claims based on expiration of the applicable statute of limitations. [read post]
28 May 2013, 3:37 pm
Morgan Stanley DW, Inc. which said a Financial Industry Regulatory Authority panel exceeded its authority when it dismissed arbitral claims based on expiration of the applicable statute of limitations. [read post]
28 May 2013, 5:35 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Wedbush Securities Inc. asserted breach of contract, an equitable claim for money loaned, and unjust enrichment, in connection with five loans the firm had made to Respondent Hansen during her employment. [read post]
28 May 2013, 2:45 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, Stanley L. [read post]
27 May 2013, 5:30 pm
Financial regulation may need to include governance regulation. [read post]
26 May 2013, 1:33 pm
Meanwhile insurers, brokers and other regulated in the insurance industry also could face exposures not only for potential compliance deficiency but also for misrepresentation of the nature and character of the products or other business practices regulated by applicable state insurance regulators. [read post]
24 May 2013, 2:13 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Blake Richards was registered with FINRA member firms from April 2000 until May 2013. [read post]
24 May 2013, 6:44 am
However, rather than an altruistic gesture on Schwab’s part, removal of the class action waiver comes as the result of a complex set of events, whereby a FINRA (Financial Industry Regulatory Authority) panel decided to permit such waivers, but the decision was later opposed by the larger body of the FINRA itself. [read post]
