Search for: "Financial Industry Regulatory Authority"
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20 Nov 2017, 7:34 am
., often criticizes the Financial Industry Regulatory Authority for what he calls a lack of "content and context" in its various published arbitration and regulatory documents. [read post]
5 Dec 2016, 2:33 am
Whatever the explanation, it doesn't end particularly well.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Larry Allen... [read post]
25 Apr 2017, 7:14 am
The securities lawyers of Gana LLP are investigating customer complaints filed with Financial Industry Regulatory Authority (FINRA) against broker Tracy Rae Turner (Turner). [read post]
8 Dec 2020, 7:46 am
Robert Halldin Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Robert Halldin from the securities industry. [read post]
7 May 2013, 6:04 am
Although many firms have implemented policies and procedures to track emails, the devil is often in the details, as this recent settlement proves.NEXT On LineFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, NEXT Financial Group, Inc., submitted a… [read post]
28 Jul 2022, 7:00 am
Broker-Dealer Losses Yet Another Investor Claim Involving Its Yield Enhancement Strategy A Financial Industry Regulatory Authority arbitration panel has awarded investors $1.34M, including punitive damages, for losses sustained in the UBS Yield Enhancement Strategy. [read post]
1 Jun 2024, 9:05 pm
In the U.K., the Financial Conduct Authority (FCA) took a test case to the Supreme Court in 2020 in order to get legal clarity on a representative sample of policy wordings. [read post]
23 Mar 2021, 12:23 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Chad Mackland from the securities industry. [read post]
20 Jul 2009, 12:22 pm
The Financial Industry Regulatory Authority (FINRA) announced that it will be surveying retail sales practices in the municipal securities market.FINRA investigators are conducting sweeps to gather information in three distinct areas: industry sales to retail investors; municipal securities involving swaps and derivatives for small municipalities; and sales of certain so-called municipal Gas Bonds that were underwritten and guaranteed by the now-defunct… [read post]
17 Jun 2010, 10:49 pm
” While speaking before the Financial Industry Regulatory Authority on May 27, US Deputy Treasury Secretary Neal Wolin says that the White House is strongly in favor of making retail brokers subject to the toughest possible consumer protection while also having them abide by a fiduciary duty. [read post]
8 May 2013, 8:46 am
In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
1 Feb 2011, 10:06 pm
In a long-sought victory for investors, the Securities and Exchange Commission ("SEC") has approved a proposal by the Financial Industry Regulatory Authority ("FINRA") that arbitration panels, which decide investor claims of broker misconduct, no longer are required to include an arbitrator who is a member of the financial industry. [read post]
10 Apr 2014, 6:52 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Centaurus Financial, Inc., (Centaurus) concerning allegations that Centaurus failed to supervise the business activities of five representative in the dissemination of communications concerning the risks of certain private placements. [read post]
16 Aug 2021, 7:05 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Jason Seale from the securities industry for 15 business days. [read post]
23 May 2017, 11:07 am
The securities and investment lawyers of Gana LLP are investigating a customer complaint and an employment separation after allegations filed with the Financial Industry Regulatory Authority (FINRA) again broker Louis Frederick Scherschel (Scherschel). [read post]
19 Sep 2019, 4:46 pm
Small teams include participants from both the regulator and a diversity of entities to ensure the inclusion of regulatory, industry, and technology perspectives. [read post]
1 Jul 2020, 10:48 am
Broker Gregory Ricker, Westpark Capital in Boca Raton, FL FINRA Reportedly Suspends Gregory Ricker for Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended and fined financial advisor Gregory Ricker $75,000 after allegations that he “participated in private securities transactions by referring a potential investor to a company and receiving selling compensation in the amount of… [read post]
22 Dec 2009, 9:37 am
Pacific Cornerstone Capital, Inc. of Irvine, California, and it's CEO were fined a total of $750,000 by the Financial Industry Regulatory Authority (FINRA) for making false and misleading statements to purchasers of Cornerstone Industrial Properties LLC and CIP Leveraged Fund Advisors LLC. [read post]
8 Jul 2021, 11:21 am
In Part I of this two-part podcast, we discuss the government policies that have contributed to or caused the financial crises faced by the U.S. over the past 200 years, how the consumer financial services industry can benefit from smarter regulation and a principles-based rather than a rules-based regulatory system, and how regulators can better utilize technological innovation. [read post]
2 May 2012, 10:56 am
Daniel Nathan, formerly vice president and regional enforcement director at the Financial Industry Regulatory Authority, joins as a partner. [read post]
