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21 Nov 2023, 2:26 pm
Diamond was previously registered with an Atlanta-based broker-dealer called Kalos Capital Inc. when he sold GPB’s securities. [read post]
15 Nov 2023, 6:26 am
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
13 Nov 2023, 9:05 pm
INTERPRETIVE GUIDANCE The Interpretive Guidance is substantively identical to the proposal and, according to the Council, “removes three significant but inappropriate prerequisites”[12] that were embodied in the 2019 Interpretive Guidance: (1) the prioritization of industry-wide, activity-based regulations over the designation of specific entities (i.e., an “activities-based approach”) to address risks to financial stability; (2) the commitment to… [read post]
12 Nov 2023, 9:23 pm
It operates the largest dispute resolution forum in the securities industry. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
9 Nov 2023, 6:29 am
He has been in the industry since 2000. [read post]
8 Nov 2023, 10:14 pm
FINRA Rule 2111: Suitability FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
6 Nov 2023, 9:46 am
He has been in the industry since 2011. [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
25 Oct 2023, 8:30 am
Inc. [read post]
25 Oct 2023, 8:05 am
Michael Solomon Maxim Group LLC HFP Capital Markets LLC Bertram Unger Edward Jones Pruco Securities, LLC Shane Wilhelm Fortune Financial Services, Inc. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
24 Oct 2023, 2:36 pm
Anesthesia Partners, Inc. [read post]
20 Oct 2023, 2:40 pm
Ongoing litigation initiated by industry participants may further delay the effectiveness of these rules. [read post]
20 Oct 2023, 8:06 am
The Financial Industry Regulatory Authority Inc. [read post]
