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17 Feb 2014, 5:26 am
First, FINRA already reviews all broker complaints to determine whether or not the matter warrants further investigation. [read post]
13 Feb 2021, 1:34 pm
Here are some of the regulatory developments of the last week of significance to broadcasters, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
3 Jan 2022, 12:02 pm
Triad also reportedly lacked a reasonable supervisory system to review representatives’ LJM recommendations. [read post]
23 May 2014, 5:05 am
FSC filed an amended Form U5 filing in which the firm disclosed that it had terminated Moran’s employment while he was under internal review for fraud or wrongful taking of property, or violating investment-related statutes, regulations, rules or industry standards of conduct. [read post]
19 Feb 2011, 5:48 am
Andy Kessler writes in Thursday’s WSJ: With a heavy regulatory burden, payroll taxes and health-care costs, employing people is very expensive. * * * Tellers, phone operators, stock brokers, stock traders: These jobs are nearly extinct. [read post]
25 Jun 2021, 5:43 am
The Financial Industry Regulatory Authority (FINRA) shares responsibility with the U.S. [read post]
6 Feb 2017, 7:20 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial). [read post]
12 Jan 2018, 3:50 am
This includes doing your research, making sure you understand your investments and reviewing your investment account for suspicious transactions on an ongoing basis. [read post]
23 Oct 2009, 12:40 pm
Morgan e-mailed me a very pointed observation after reviewing my SafeStat presentation. [read post]
19 Jan 2024, 9:21 am
The final draft RTS and ITS were submitted to the European Commission for a review and adoption. [read post]
12 Jan 2018, 11:50 am
” Specifically, if a court conducts an in camera review, notes of the oral download should not match the original interview notes. [read post]
22 May 2018, 7:24 am
Upon review of the information provided, on April 27, 2018 the European Union (“EU”) voted to ban the use of neonicotinoid pesticides on outdoor crops. [read post]
13 Jun 2014, 9:24 am
Chamber of Commerce released a white paper entitled “Review of Enforcement and Litigation Strategy during the Obama Administration—A Misuse of Authority. [read post]
Report by MLCL Principal Hugh Berkson Draws Federal Scrutiny to Problem of Unpaid Arbitration Awards
31 Mar 2016, 9:56 am
FINRA essentially refused to provide the information so PIABA reviewed every award issued in 2013. [read post]
8 Aug 2011, 7:55 am
Others have turned to the courts to compel greater environmental review of fracking’s impacts, with a new suit filed in the United States District Court for the Eastern District of New York late last week. [read post]
20 Nov 2019, 6:21 am
This investment will help us to advance product development and scale rapidly to support our customers with data mapping, data minimization and regulatory compliance. [read post]
9 Apr 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) fined broker-dealer, Berthel Fisher & Co. [read post]
9 Apr 2022, 1:03 pm
Here are some of the regulatory developments of significance to broadcasters from the last week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
29 Aug 2012, 9:29 am
The SEC’s quiet period rules do not suffer from a constitutional defect under the US Supreme Court’s First Amendment test announced in a 2001 ruling, said SEC Chair Chair Mary Schapiro in response to a question from House Oversight Committee Chair Darrell Issa (R-CA) as part of a letter from the oversight chair containing a number of questions on the reform of the IPO regulatory regime. [read post]
20 Jan 2019, 11:25 am
Other activities McCaffrey is alleged to have performed include reviewing and editing documents relating to the investments, forwarding investment-related documents to the customers, and communicating with the customers about their investments. [read post]
