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23 Nov 2018, 4:06 am
He was also subject of a Financial Industry Regulatory Authority complaint in 2008 accusing him of excessive trading and unsuitable trading in clients’ accounts. [read post]
28 Jul 2020, 11:29 am
He became registered with the Financial Industry Regulatory Authority (FINRA) member firm on 24th April 2020. [read post]
12 Apr 2011, 10:31 am
And the Financial Industry Regulatory Authority has begun a preliminary inquiry, “raising the possibility of still more financial and administrative penalties in the future. [read post]
13 May 2021, 2:16 pm
In addition to commodities and other physical trading, futures trading has expanded into the financial industries. [read post]
11 Aug 2009, 2:35 pm
The Complaint further points out that the Financial Industry Regulatory Authority ("FINRA") has warned that "inverse and leveraged ETFs … typically are unsuitable for retail investors who plan to hold them for longer than one trading session, particularly in volatile markets," and that sales materials must be fair and accurate. [read post]
28 Jul 2020, 11:29 am
He became registered with the Financial Industry Regulatory Authority (FINRA) member firm on 24th April 2020. [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
16 Dec 2019, 7:29 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
20 May 2020, 12:38 pm
How Does FINRA Handle A Zoom Securities Arbitration The Financial Industry Regulatory Authority (“FINRA”) recently set forth guidelines and best practices for the administration of arbitrations and mediations remotely via the Zoom platform. [read post]
19 Jan 2016, 9:30 pm
According to at least one industry participant, the market contains “a lot of pent-up demand from ordinary investors. [read post]
24 Dec 2018, 6:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
1 Sep 2022, 2:30 pm
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
27 Apr 2022, 9:59 am
Repple & Company involving GWG L Bonds The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
19 Mar 2019, 6:00 am
ISS recommends that investors “[v]ote for shareholder proposals seeking information on the financial, physical, or regulatory risks it faces related to climate change- on its operations and investments, or on how the company identifies, measures, and manage such risks” in its 2019 Policy Recommendations. [read post]
16 Apr 2020, 12:37 pm
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
28 Oct 2021, 6:00 am
Extended Benefits The Canada Recovery Hiring Program (CRHP) is being extended until May 7, 2022, with authority for further regulatory extensions until July 2, 2022. [read post]
7 Aug 2010, 10:46 am
According to Notice to Members 10-09, published by the Financial Industry Regulatory Authority (FINRA), which is supposed to regulate its member-broker’s sales practices, a reverse convertible is a structured product consisting of a high-yield short-term note linked to the performance of a reference asset, usually a stock or a basket of stocks. [read post]
8 Jun 2010, 2:31 am
One suggestion we have heard would be, in the offshore world at least, for investors to access financial statements direct from the Cayman Monetary Authority (perhaps via a secure website with appropriate authorizations). [read post]
10 Aug 2023, 7:41 am
” “In particular, the firm was accused of violating the Money Laundering Regulations 2007 with respect to compliance with legal and regulatory obligations, effective operation of the business in line with ‘proper governance and sound financial and risk management principles’ and compliance with AML legislation, the Gazette indicated. [read post]
25 Apr 2022, 6:48 am
Supreme Court ruled that Section 13(b) does not provide such authority to the FTC. [read post]
