Search for: "Financial Industry Regulatory Authority"
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5 Jun 2023, 6:51 am
A New Jersey attorney and his law firm have been hit with a legal malpractice suit claiming that they mishandled a client’s Financial Industry Regulatory Authority arbitration, resulting in a costly settlement. [read post]
5 Jun 2023, 6:30 am
She cites as one example the city of Detroit's creation of a regional water authority during its bankruptcy which is credited with smoothing over relations between Detroit and its suburbs and for its ability to generate more revenue — “as a bond sale from the authority would likely fetch higher rates than a bond sale from the city by itself. [read post]
5 Jun 2023, 5:50 am
The Financial Industry Regulatory Authority Inc. alleged that Todd Anthony Cirella and Edward Scott Short traded in senior customers’ accounts at a level that was “excessive, unsuitable, [...] [read post]
4 Jun 2023, 2:36 pm
The Public Investors Advocate Bar Association is pushing for more transparency around how arbitrators are selected in the Financial Industry Regulatory Authority forums by providing public explanations when arbitrators are substituted due to a conflict of interest. [read post]
4 Jun 2023, 1:49 pm
At the Financial Industry Regulatory Authority’s annual conference, enforcement leaders from the Securities and Exchange Commission and FINRA elaborated on some of the common problems they encounter during exams on compliance with both Reg BI and Reg BE.Reg BIOn Reg BI, Gurbir Grewal, the director of the SEC’s division of enforcement, noted an [...] [read post]
4 Jun 2023, 12:58 pm
Prometheum subsidiary Prometheum Ember Capital has received approval from the Financial Industry Regulatory Authority (FINRA) as a special purpose broker-dealer (SPBD) for digital asset securities. [read post]
4 Jun 2023, 12:35 pm
Oppenheimer lost the huge arbitration decision, decided by a Financial Industry Regulatory Authority Inc. panel, in September, to eight investors who were [...] [read post]
4 Jun 2023, 11:33 am
Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority’s (“FINRA”) revised proposal to establish more difficult procedures for expungement of customer complaints from an Associated Person’s records maintained by the Central Registration Depository (“CRD”). [read post]
4 Jun 2023, 11:16 am
Morgan Stanley and two of its brokers will have to pay more than $300,000 over contract breach and other claims arising from the pair of advisors' departure from the broker-dealer affiliate of Huntington Bank in Ohio.A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley as well as James Patrick Riepenhoff and Frank [...] [read post]
4 Jun 2023, 10:32 am
Oppenheimer & Co. has been ordered by a Financial Industry Regulatory Authority arbitration panel to pay another $14 million over alleged supervisory failures related [...] [read post]
3 Jun 2023, 6:18 pm
A Financial Industry Regulatory Authority arbitration panel has held Morgan Stanley and two brokers it hired jointly liable for $333,000 in damages and legal fees based on breach of contract claims tied to their departure from Columbus, Ohio-based Huntington Bank. [read post]
3 Jun 2023, 5:22 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered Oppenheimer to pay $1,483,670 in compensatory damages to two investors, Bruce Cullen Sr. and Rosemarie Cullen, according to the March 2 [...] [read post]
3 Jun 2023, 4:22 pm
The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by FINRA Dispute Resolution Services (DRS). [read post]
3 Jun 2023, 1:14 pm
The Financial Industry Regulatory Authority Inc. filed the original version for SEC [...] [read post]
3 Jun 2023, 12:13 pm
A proposal from the Financial Industry Regulatory Authority (FINRA) designed to make it more difficult for securities brokers to expunge customer disputes from their publicly available records received approval from the U.S. [read post]
2 Jun 2023, 9:05 pm
first appeared on The Regulatory Review. [read post]
1 Jun 2023, 9:45 pm
When Retirees Are Targeted By Brokers in Ponzi Scams Oppenheimer Must Pay Almost $14M Related to A$110M Scheme Run By Former Financial Advisor John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Oppenheimer & Co. to pay five Florida retirees and two trusts nearly $14M in losses they sustained in the $110M Horizon Private Equity III Ponzi scam run by its former Atlanta broker John J. [read post]
1 Jun 2023, 9:41 pm
When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). [read post]
1 Jun 2023, 12:58 pm
Recovery may be possible through an arbitration action with FINRA, the Financial Industry Regulatory Authority. [read post]
31 May 2023, 3:00 pm
Many positive things have been said in the last days, months and years about the historical improvements the UP and UPC will bring for the industry, economy and innovation. [read post]
