Search for: "Financial Industry Regulatory Authority"
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23 May 2013, 11:15 am
Paid Rival Links would benefit Google financially. [read post]
23 May 2013, 4:00 am
According to the CFPB’s press release, in agreeing to the framework, the CSBS was “acting on behalf of state financial regulatory authorities. [read post]
22 May 2013, 4:42 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2012, Claimants alleged that Respondent Edward Jones failed to train its advisors on the use of "stop" loss orders, which resulted in account losses of $45,831.32, the amount sought as damages. [read post]
21 May 2013, 3:31 pm
The Financial Industry Regulatory Authority (FINRA) has levied a $7.5 million fine against LPL Financial LLC (LPL) for a series of email system failures which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
21 May 2013, 11:20 am
., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private placement for a company that was on a “restricted list” of firms that should not be dealt with. [read post]
21 May 2013, 10:31 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, Gary Mitchell Spitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 May 2013, 9:30 pm
These asymmetric data policies were biased against industry. [read post]
20 May 2013, 9:59 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in alternative investments. [read post]
20 May 2013, 3:41 am
In a recent case involving a former Schwab broker, he wound up on the wrong side of FINRA when he was found to have exercised trading discretion in a family member's account.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, Jonathan A. [read post]
17 May 2013, 11:41 am
Schwab's right to stop clients from bringing coordinated court actions was challenged last year by the Financial Industry Regulatory Authority, the securities industry’s principal regulator. [read post]
17 May 2013, 5:25 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants alleged causes of action including breach of fiduciary duty, fraud, and elder abuse pertaining to an investment in a Tenant-in-Common ("TIC") real estate investment. [read post]
16 May 2013, 7:51 am
The $2.6 Million Question In Goldman Sachs Suitability ArbitrationFINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther...Read OnPublic Customer Wins Messy Private Placement ArbitrationIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claima... [read post]
16 May 2013, 6:08 am
In this recent multi-million-dollar dispute involving Goldman Sachs, we have yet another example of a two-to-one decision with a thoughtful dissent.The $2.6 Million QuestionIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Landow asserted u... [read post]
16 May 2013, 5:03 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Process Engineering Services asserted breaches of contract and fiduciary duty, misrepresentation, and omission of fact in connection with its purchase of a private placement of Emerald Communications, Inc. [read post]
16 May 2013, 3:21 am
Except, you know, rules are rules and oral consent just doesn't trump prior written authorization -- and none of those measures can get you over the hurdle when the use of blank forms itself is prohibited, period.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… [read post]
15 May 2013, 2:37 pm
On may 9, 2013 the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) released an Investor Alert to warn investors about the risk involved when selling or buying a pension or structured settlement income-stream. [read post]
14 May 2013, 3:31 am
Consider this recent regulatory case.A Natural Born Stock-ManFor 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, David E. [read post]
13 May 2013, 6:27 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011 and amended thereafter, Claimant Teevan asserted breach of contract, unpaid commissions, compensation, and wrongful termination. [read post]
13 May 2013, 3:55 am
In this case, FINRA finds the winning ticket of conversion, borrowing, and undisclosed settlement -- for the broker, it's the equivalent of getting scratched.A Cascade of Compliance No-No'sFor 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, Timothy R. [read post]
13 May 2013, 3:42 am
In this recent FINRA regulatory matter involving a broker-dealer/bank employee, bank customers were targeted for the purpose of accessing their signature cards.The Top TenFor 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, Henry Nguyen submitted a… [read post]
