Search for: "Financial Industry Regulatory Authority"
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27 Oct 2020, 1:23 pm
Filing a Complaint Against your Brokerage Firm 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]
13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
7 Jan 2020, 8:30 am
The customer disputes allege the following misconduct: March 2017 – False and misleading assurances and unsuitable recommendations February 2018 – Misrepresentation, promissory statements and unsuitable recommendation April 2018 – Misrepresentations and promissory statements in regard to a private placement that was not suitable for the investors April 2018 – Misrepresentation, promissory statements and unsuitable recommendation December 2018 – Material misstatements,… [read post]
7 Oct 2016, 2:40 pm
Trademarks are systems of regulatory governance--systematic efforts to regulate business conduct through exercise of non state authority--what is also known as governance in the societal sphere. [read post]
31 Oct 2014, 11:13 am
Industry members with direct financial or other economic interests should be excluded from standard setting or certification activities. __________________ For information about my regulatory services: contact For more regulatory law updates follow me on Twitter: @CanadaAttorney Visit my Google+ page for more updates: Canadian Competition & Regulatory [read post]
22 Aug 2024, 4:43 am
The consequences of failing to meet these standards, as T-Mobile has learned, can be severe – both financially and reputationally. [read post]
18 Dec 2018, 3:57 am
Author of leading works on a multitude of labor and employment, compensation and benefits, internal controls and compliance, and risk management matters and a Fellow in the American College of Employe [read post]
5 Mar 2009, 8:24 pm
Justice Moreno asked if Gerstein could cite any "counter authorities from California" for the proposition that the CLRA applied to insurance. [read post]
12 Apr 2020, 6:03 am
According to Von der Leyen, the EU is in discussion with the pharmaceutical industry to ensure a vaccine can be distributed fast as soon as it is available. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
19 Jun 2012, 7:34 am
In the case of broker-dealers and municipal advisors, the ban also provides that any such solicitors must be subject to the pay-to-play restrictions that are purportedly due to be adopted in the future by either the Financial Industry Regulatory Authority (FINRA) or the Municipal Securities Rulemaking Board (MRSB). [read post]
10 Dec 2019, 10:53 am
Advisor Darren Kubiak (Kubiak), according to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), has been accused of selling GPB Capital. [read post]
27 Apr 2020, 8:29 am
James Lamont was suspended in all capacities by the Financial Industry Regulatory Authority (FINRA) on allegations of participating in private securities transaction without the prior approval of his firm and his further refusal to pay the fines awarded against him, according to an investigation by securities lawyer Alan Rosca. [read post]
27 Apr 2020, 8:29 am
James Lamont was suspended in all capacities by the Financial Industry Regulatory Authority (FINRA) on allegations of participating in private securities transaction without the prior approval of his firm and his further refusal to pay the fines awarded against him, according to an investigation by securities lawyer Alan Rosca. [read post]
12 Aug 2024, 2:25 am
Intrastate trucking, however, is governed by state-specific authorities, meaning each state sets its own rules. [read post]
8 Oct 2018, 9:30 pm
The U.S. approach to regulating the industry has been to work with its current laws rather than introduce new ones. [read post]
16 Aug 2015, 3:53 pm
Section 342 of Dodd-Frank, passed by Congress and signed into law by President Barack Obama at the end of 2010, directed each of 12 affected federal financial industry regulators to establish an Office of Minority and Women Inclusion (OMWI) and to publish, no later than January 21, 2011, proposed regulations designed to increase diversity in the financial industry, in both employment and contracting. [read post]
3 Jun 2016, 8:55 am
For example: On March 15, 2016, the Financial Industry Regulatory Authority (FINRA) released a report regarding digital investment advice which raised questions concerning the standard of care that applies to broker-dealers and investment advisers under federal securities laws with regard to investment advice that they provide and the application of same to digital services used either in conjunction with a financial professional or on its… [read post]
30 Jun 2011, 11:42 am
The SEC is amending Part 1 of Form ADV to require advisers to provide additional information: 1) about private funds they advise, 2) about their advisory business and business practices that may present conflicts of interest, and 3) about their non-advisory activities and financial industry affiliations. [read post]
