Search for: "Financial Industry Regulatory Authority"
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22 Apr 2023, 6:18 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Blakezuniga, has three regulatory disclosures on his profile. [read post]
21 Apr 2023, 9:00 am
Regulatory agencies also have the authority to impose sanctions on nursing homes that violate regulations. [read post]
21 Apr 2023, 8:00 am
The Financial Industry Regulatory Authority (FINRA) provides regulatory services to the financial industry by licensing and regulating brokerage firms. [read post]
21 Apr 2023, 6:20 am
Turner consented to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which permanently barred him from the Securities Industry. [read post]
20 Apr 2023, 12:45 pm
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self- regulator that oversees brokers and brokerage firms, has censured and fined Regal Securities (CRD # 7297) for supervisory issues. [read post]
20 Apr 2023, 6:19 am
Cirella agreed to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which suspended him from association with any brokerage firm for three months and fined him $5,000. [read post]
19 Apr 2023, 11:50 am
Seattle Broker Michael Raineri Barred after Allegations of Conversion of Funds According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has barred financial advisor Michael Raineri (CRD # 4817588) from the securities industry. [read post]
19 Apr 2023, 6:19 am
(“Insight Securities”) in Highland Park, Illinois, agreed to a censure and fine of $25,000 in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
19 Apr 2023, 12:45 am
As explained, a firm operating in a certain industry often has no alternative to using the standardized technology, and thus must license the related SEPs. [read post]
18 Apr 2023, 4:21 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
18 Apr 2023, 6:14 am
Short agreed to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which suspended him from association with any brokerage firm for seven months and fined him $5,000. [read post]
18 Apr 2023, 1:39 am
The publication is designed to provide guidance to the financial services industry on how to develop, implement and maintain an effective anti-bribery and corruption (ABC) compliance programme, and should be read in conjunction with applicable legislation, regulation, and guidance issued by authorities in the jurisdictions in which a financial institution conducts business. [read post]
17 Apr 2023, 12:40 pm
Equity for Unsuitable VA Sales In May 2021, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, censured and fined O. [read post]
17 Apr 2023, 9:52 am
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has censured and fined RBC Capital Markets LLC $300,000 for supervisory issues. [read post]
17 Apr 2023, 7:03 am
(CRD#:15007), MELVILLE, NY, B, 11/21/2017 – 03/28/2018, MAXIM GROUP LLC (CRD#:120708), NEW YORK, NY B, 08/04/2016 – 11/22/2017, STOCKKINGS CAPITAL LLC (CRD#:164445), NEW YORK, NY FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
17 Apr 2023, 5:16 am
The tech industry’s proclivity toward secrecy amplifies this problem. [read post]
14 Apr 2023, 11:27 am
The FINRA BrokerCheck tool is a free online tool provided by the Financial Industry Regulatory Authority (FINRA) that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
14 Apr 2023, 9:24 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
14 Apr 2023, 5:01 am
In enforcing any regulatory system, whether it involves food safety, financial stability of banks, or cybersecurity of critical infrastructure, there are three different questions regulators need to answer: Does the regulated entity have a good risk mitigation plan meeting the regulatory requirements? [read post]
13 Apr 2023, 5:17 am
Matson was barred from the Securities Industry by FINRA, the Financial Industry Regulatory Authority, for refusing to cooperate with their regulatory investigation. [read post]
