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30 Mar 2018, 6:01 am
Evidence from Illegal Insider Trades Posted by Kenneth Ahern (University of Southern California), on Wednesday, March 28, 2018 Tags: FINRA, Information asymmetries, Information environment, Insider trading, Liquidity, SEC, Securities enforcement, Securities regulation BlackRock Investment Stewardship’s Approach to Engagement on Human Capital Management Posted by Michelle Edkins, BlackRock Investment Stewardship, on Wednesday, March… [read post]
29 Mar 2018, 12:28 pm
If a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be liable for investment losses through FINRA arbitration. [read post]
29 Mar 2018, 11:04 am
FINRA announced a separate settlement in the case in which Aegis agreed to pay $550,000. [read post]
29 Mar 2018, 9:17 am
They must ensure they are complying with FINRA rules. [read post]
29 Mar 2018, 6:54 am
(FINRA Case #2015047602801) Michael Nicholas Guilfoyle (CRD #5119593, Old Bridge Township, New Jersey) – An AWC (Accept, Waiver & Consent) was issued in which Guilfoyle was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 10 months. [read post]
28 Mar 2018, 12:33 pm
In Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
28 Mar 2018, 12:15 pm
FINRA, the organization which regulates all investment sales and brokers, forbids outside investment activity that is not approved by the employing firm. [read post]
28 Mar 2018, 9:51 am
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Matthew Singer for failing to appear at a hearing in connection with a FINRA investigation. [read post]
28 Mar 2018, 9:50 am
FINRA threw him out of the securities industry in December, citing 11 private securities transactions and his role as a business advisor to trusts and charities associated with a client, believed to be pitcher Justin Verlander. [read post]
28 Mar 2018, 9:41 am
For FINRA’s full findings see FINRA case #2017056329801. [read post]
28 Mar 2018, 7:15 am
If you were a client of Timary Delorme and Wedbush Securities and suffered losses, The White Law Group may be able to help you by filing a FINRA arbitration claim. [read post]
27 Mar 2018, 9:22 am
This is according to FINRA, as well. [read post]
27 Mar 2018, 6:13 am
For FINRA’s full findings see FINRA Case # 2017053526401. [read post]
26 Mar 2018, 12:45 pm
Halcyon Cabot was expelled in October 2015, according to FINRA. [read post]
26 Mar 2018, 12:06 pm
They must ensure they are complying with FINRA rules. [read post]
26 Mar 2018, 10:19 am
According to FINRA’s BrokerCheck, Steven Eugene Love was previously registered with Pruco Securities in Newark, New Jersey from January 1984 until December 1994 and Alanar Inc. in Sullivan, Indiana from December 1994 until August 2003. [read post]
26 Mar 2018, 10:18 am
This is all according to his online, FINRA BrokerCheck report. [read post]
26 Mar 2018, 9:02 am
In today's BrokeAndBroker.com Blog we are confronted with yet another variation on the theme of how folks attempt to provide for their loved ones after death but how life, regulation, compliance, and law may frustrate such intentions. [read post]
26 Mar 2018, 8:58 am
And if all of that doesn't entice you to read today's blog, you should know that it also includes three lovely music videos by Anita Baker, Amy Winehouse, Tony Bennett, and Billie Holiday -- as eclectic a group as you may ever find in the company of a murderer and counterfeiter (alleged as they may be).Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2016, Claimant Peder... [read post]
26 Mar 2018, 8:53 am
A few years ago I had the misfortune of getting involved in an estate matter, which, among other points in contention, included a Special Needs Trust or "SNT. [read post]
