Search for: "Financial Industry Regulatory Authority"
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5 Jun 2023, 11:57 am
The Financial Industry Regulatory Authority has fined and censured Mass Mutual broker-dealer subsidiary MML Investors Services over alleged lapses in updating its brokers’ documents of registration and termination.Without admitting or denying Finra's findings, MML agreed to the censure and a $250,000 fine, according to a letter of acceptance, waiver and consent published Tuesday [...] [read post]
9 Sep 2008, 6:22 pm
FINRA (the Financial Industry Regulatory Authority) has issued guidance to Americans who may feel pressured to make poor financial decisions in order to raise cash to meet short-term needs. [read post]
3 Mar 2021, 8:41 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Rhett Douglas Bedwell from the securities industry. [read post]
21 May 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Carl Antaki from the securities industry for three months. [read post]
31 Mar 2008, 7:11 am
The intermediate recommendations focus on eliminating some of the duplication of the U.S. regulatory system, but more importantly try to modernize the regulatory structure applicable to certain sectors in the financial services industry (banking, insurance, securities, and futures) within the current framework. [read post]
5 Mar 2018, 8:21 am
According to public records with the Financial Industry Regulatory Authority (FINRA), Leslie Koonce allegedly received regulatory sanctions against him. [read post]
29 Aug 2022, 7:07 am
In addition, by lowering the costs of those changes through tax credits and cash subsidies, IRA may have made some regulations financially feasible for industry that might not have been otherwise. [read post]
1 Apr 2010, 6:39 am
It’s official - former ING Financial broker Rhonda Breard has been permanently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). [read post]
31 Jan 2017, 1:06 pm
As financial services innovators and financial technology (“FinTech”) have expanded over the last several years, a point of industry consensus is that the U.S. regulatory landscape in particular is challenging to, and in some cases poses a barrier to, innovation and new competition within the FinTech arena. [read post]
17 Nov 2022, 9:50 am
Meenagh, Matthew Rodwell, and Ksenia Koroleva On November 1, 2022, the Dubai Financial Services Authority (DFSA) crypto token regulatory regime came into effect. [read post]
12 Jul 2012, 9:30 pm
The Securities and Exchange Commission (SEC) approved a final rule that requires national securities exchanges and the Financial Industry Regulatory Authority to create a database to facilitate stock trade audits.The Federal Trade Commission (FTC) is reportedly considering levying a $22.5 million fine on Google for bypassing a privacy setting on Apple's Safari web browser. [read post]
17 Feb 2021, 12:58 pm
Michael Anthony Tavel (CRD# 4862463) was recently suspended from acting as a broker by the Financial Industry Regulatory Authority. [read post]
11 Jan 2023, 10:47 am
On November 30, 2022, the Financial Industry Regulatory Authority (FINRA) found, in a regulatory proceeding, that FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial negligently failed to disclose to investors that GPB issuers failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
3 Oct 2019, 3:44 am
It was the third straight decline since 2016, when there were 639,457 registered reps.In 2018, there were 3,607 brokerage firms registered with the Financial Industry Regulatory Authority Inc. [read post]
25 Nov 2019, 5:52 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Monson (Monson), currently associated with Van Clemens & Co. [read post]
23 Jan 2012, 4:15 am
to the Financial Industry Regulatory Authority (? [read post]
18 Jan 2018, 4:55 pm
On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its Annual Regulatory and Examination Priorities Letter (“2018 Letter”). [read post]
22 Jun 2021, 8:56 am
’s recent Focus Report to the Securities and Exchange Commission (SEC), the firm is contending with four pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers alleging damages of approximately $4.5M. [read post]
25 Jan 2021, 8:45 am
On January 20, 2021, a Financial Industry Regulatory Authority Hearing Officer barred Bryan G. [read post]
9 Nov 2021, 9:29 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Leonard Marzocco from the securities industry. [read post]
