Search for: "Financial Industry Regulatory Authority"
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10 Jun 2023, 7:24 am
Just as a remote work rule for broker-dealers was up for final approval, FINRA has snatched it back for further revisions.The Financial Industry Regulatory Authority — the brokerage industry's self-regulator — put forward changes to its remote work proposal on March 29, a day before it was scheduled for adoption or rejection by [...] [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
10 Jun 2023, 5:42 am
NEW YORK, April 5, 2023 /PRNewswire/ -- GTN, a successful fintech pioneer with decades of success making investment and trading accessible for all, proudly announces its latest accomplishment in its expansion strategy - obtaining a Financial Industry Regulatory Authority (FINRA) license. [read post]
10 Jun 2023, 2:14 am
Source: ilikeyellow / Shutterstock.com Meta Materials (NASDAQ:MMAT) and MMTLP are in full focus after a shareholder filed a petition for pre-action disclosure against the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jun 2023, 8:07 pm
A three-person Financial Industry Regulatory Authority Inc. arbitration panel in Boca Raton, Florida found the firm and former [...] [read post]
9 Jun 2023, 6:57 pm
Alpine Securities Corp. is appealing a federal court’s decision to allow the Financial Industry Regulatory Authority to continue its enforcement activities while the investment adviser’s challenge to its authority proceeds.The company’s filing Thursday came a day after the US District Court for the District of Columbia denied its request for a preliminary injunction.Alpine [...] [read post]
9 Jun 2023, 4:23 pm
Alpine Securities Corp. is appealing a federal court’s decision to allow the Financial Industry Regulatory Authority to continue its enforcement activities while the investment adviser’s challenge to its authority proceeds.The company’s filing Thursday came a day after the US District Court for the District of Columbia denied its request for a preliminary injunction.Alpine [...] [read post]
9 Jun 2023, 12:54 pm
Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds On June 7, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jermaine Benjamin (CRD #6152653) from the securities industry, according to a Letter of Acceptance, Waiver and Consent. [read post]
9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
9 Jun 2023, 11:52 am
A judge in Georgia has ruled that Wells Fargo and its counsel “manipulated” the Financial Industry Regulatory Authority’s arbitrator selection process and violated the FINRA Code [...] [read post]
9 Jun 2023, 11:19 am
District ruled that a securities firm failed to show that the Financial Industry Regulatory Authority was likely unconstitutional. [read post]
9 Jun 2023, 10:50 am
The Financial Industry Regulatory Authority Inc. promoted Nathaniel Stankard to executive vice president and chief of staff to the CEO for regulatory operations. [read post]
9 Jun 2023, 8:47 am
A December 27-inked ruling by a split panel of three Financial Industry Regulatory Authority arbitrators calls for Fidelity to revise the termination form it filed with regulators when, in [...] [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
9 Jun 2023, 6:36 am
By thoroughly understanding airplane crashes, their causes, and the factors involved, aviation authorities, industry professionals, and manufacturers can take proactive steps to prevent future incidents. [read post]
8 Jun 2023, 9:05 pm
The new regulatory actions, if adopted, would cover a large portion of the U.S. economy, affecting banks, airlines, hotels, online ticket vendors, cable, phone, and internet providers—if not all industries entirely. [read post]
8 Jun 2023, 9:01 pm
Nonetheless, bank failures on both sides of the Atlantic have called into question the efficacy and reliability of post-financial crisis bank regulatory reforms, as well as the quality of supervision by regulatory agencies. [read post]
8 Jun 2023, 7:31 pm
The Financial Industry Regulatory Authority Inc. has censured Morgan Stanley and fined the firm $325,000 for publishing research reports that included inaccurate historical stock ratings. [read post]
8 Jun 2023, 5:18 pm
A new joint study from The Financial Industry Regulatory Authority (FINRA) and CFA Institute reveals a nuanced investing picture that defies generational stereotypes. [read post]
8 Jun 2023, 12:12 pm
Today, the WSJ reported that: ... the ticker MMTLP has become a rallying cry for people angry at the Financial Industry Regulatory Authority and, by extension, the entire financial system. [read post]
