Search for: "The Regulatory Review"
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3 Sep 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Joseph Lianzo from the securities industry for eight months. [read post]
5 Feb 2021, 2:56 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Lisa Ann Brumm (also known as Lisa Am Brumm and Lisa Ann Moon) from the securities industry for six months and fined her $7,500. [read post]
16 Apr 2021, 6:07 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former Joseph Stone Capital, LLC broker Abdul Rahmani. [read post]
6 May 2010, 2:01 am
China's insurance regulator, the Chinese Insurance Regulatory Commission, can order insurers with a solvency ratio between 100% and 150% to come up with plans to raise capital. [read post]
13 Aug 2021, 2:40 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Cangialosi from the securities industry for nine months. [read post]
17 May 2015, 10:15 am
One of the major challenges is the regulatory regime itself, which is particularly unwieldy and requires prosecution by the Attorney General. [read post]
12 Jul 2021, 2:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Aegis Capital Corp. financial advisor Douglas Szempruch from the securities industry for 12 months. [read post]
15 Jun 2015, 7:26 am
Many contractors and subcontractors are incorporating or incorporated these regulatory changes into their annual AAPs in 2015 for the first time. [read post]
3 Feb 2023, 7:12 am
Activision Blizzard Inc. one of the most successful video game development and publishing companies has agreed to pay $35 million to settle regulatory charges concerning its process for determining whether its disclosure to investors should ijnclude any employee complaints about workplace misconduct. [read post]
3 Feb 2023, 7:12 am
Activision Blizzard Inc. one of the most successful video game development and publishing companies has agreed to pay $35 million to settle regulatory charges concerning its process for determining whether its disclosure to investors should ijnclude any employee complaints about workplace misconduct. [read post]
1 Jun 2008, 10:18 pm
Elena Baylis and I wrote a piece about the problems with this regulatory innovation here. [read post]
9 Jul 2021, 10:29 am
The Financial Industry Regulatory Authority’s Office of Hearing Officers has suspended stockbroker Kishan (Sean) Parikh for excessive trading and unauthorized trading. [read post]
21 Jul 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Enoch Booth from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
13 May 2021, 1:10 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Adam Belardino. [read post]
6 May 2010, 2:01 am
China's insurance regulator, the Chinese Insurance Regulatory Commission, can order insurers with a solvency ratio between 100% and 150% to come up with plans to raise capital. [read post]
18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
8 Jun 2021, 1:45 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Ricardo Turlan from the securities industry for two months. [read post]
24 May 2020, 9:02 pm
Earlier this year, The Regulatory Review published two essays—one by Bethany Davis Noll and Richard L. [read post]
17 Aug 2012, 6:04 am
Veterans’ employment regulatory proposal. [read post]
30 May 2019, 8:51 am
The FCC also proposes to go to a new methodology for computing TV regulatory fees. [read post]
