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21 Nov 2019, 8:44 am
Legal and Regulatory Developments SPOTLIGHT: Visa Confirms the FTC Is Probing Its Debit Transaction Routing PracticesDigital Transactions News – November 18, 2019 Confirming rumors that the Federal Trade Commission is looking into issues involving debit card transaction routing, Visa Inc. late last week reported the Federal Trade Commission has asked it to voluntarily provide information about its routing practices. [read post]
28 Aug 2019, 5:24 am
” In a letter released Wednesday, Warren submitted a host of questions to Wells Fargo & Co. [read post]
29 May 2019, 7:44 am
(CRD#:10740), Wells Fargo Advisors, LLC (CRD#:19616), and HSBC Securities (USA) INC. [read post]
15 May 2019, 1:49 pm
LJM had previously filed a claim against Wells Fargo & Co. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities Delaney,… [read post]
8 Feb 2019, 6:04 am
Potential Changes to Fund of Funds Arrangements Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Tags: Exchange-traded funds, Investment advisers, Investment Advisers Act, Investor protection, Risk management, SEC, SEC rulemaking, Section 12(d), Securities regulation The Latest on Proxy Access Posted by Holly J. [read post]
4 Feb 2019, 7:52 am
(“Wells Fargo”), the appellee, asserting a claim for unfair and deceptive trade practices under the Maryland Consumer Protection Act, Md. [read post]
2 Feb 2019, 2:03 pm
Susan Welo worked at Cetera Advisor Networks LLC in Mayville, North Dakota from February 4, 2015 until October 4, 2016, and also was registered with Securities America, Inc in Mayville, North Dakota from October 7, 2009 until February 6, 2015, FINRA states. [read post]
31 Jan 2019, 12:59 pm
From September 2015 until July 2018 Aziz was registered with Coastal Equities, Inc. [read post]
31 Jan 2019, 9:54 am
His previous employers include Prudential Securities Incorporated (CRD #7471) of New York, NY, Bache Halsey Stuart Inc. [read post]
25 Jan 2019, 5:58 am
Hawke, Arnold & Porter Kaye Scholer LLP , on Thursday, January 24, 2019 Tags: Algorithmic trading, Broker-dealers, Compliance and disclosure interpretation, Confidentiality, Dark pools, Exchange Act, High-frequency trading, SEC, SEC enforcement, Securities Act, Securities enforcement, Securities regulation Global Antitakeover and Antiactivist Devices Posted by Kobi Kastiel (Tel Aviv University), and Adi Libson… [read post]
29 Nov 2018, 10:33 am
Edwards & Sons, Inc. in Chesterton, IN from May 18, 1998 until January 3, 2008, FINRA states. [read post]
11 Oct 2018, 10:58 am
He later went on to work at other financial firms, including UBS PaineWebber, Prudential Securities, Wachovia Securities, Citigroup Investment Services, Great Western Financial Securities Corp., and Euro-Atlantic Securities Inc. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto Trade, Inc … [read post]
26 Sep 2018, 1:06 am
The US Securities and Exchange Commission is ordering TD Ameritrade Inc. [read post]
14 Sep 2018, 8:00 pm
OPKO Health Inc. [read post]
13 Sep 2018, 9:16 am
Cole Financial, Inc. [read post]
12 Sep 2018, 10:06 am
The securities attorneys at Gana Weinstein LLP have been investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Bryan Musso (Musso). [read post]
12 Sep 2018, 8:32 am
From January 1977 to September 1977, Malis was registered with Bache Halsey Stuart Inc. [read post]
