Search for: "Financial Industry Regulatory Authority"
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15 May 2018, 6:59 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), MSI Financial Services broker Kelly Barnett allegedly used discretion in the accounts of five customers without written authorization or acceptance of the accounts as discretionary. [read post]
19 Sep 2023, 2:00 am
Federal and state regulatory agencies are focused on partnerships between financial institutions and financial technology (fintech) companies, with an emphasis on information security and data privacy. [read post]
10 May 2018, 9:46 am
According to the Financial Industry Regulatory Authority (FINRA) on May 9, the regulator has barred Stacy Cheney-Jamison from the securities industry. [read post]
24 Oct 2014, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Financial America Securities, Inc. [read post]
12 Dec 2019, 7:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Joslin’s customer complaints alleges that Joslin recommended unsuitable investments, negligence, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
17 Oct 2015, 6:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Louis Baudendistel (Baudendistel) has been the subject of at least 4 customer complaints. [read post]
2 Nov 2015, 6:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael McDonald (McDonald) has been the subject of at least 5 customer complaints. [read post]
1 Apr 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm EDI Financial, Inc. [read post]
26 Jan 2017, 9:43 am
On Jan. 18, 2017, the Financial Industry Regulatory Authority (FINRA) became the latest organization to weigh in on distributed ledger technology (DLT), also known as blockchain. [read post]
26 Jan 2017, 9:43 am
On Jan. 18, 2017, the Financial Industry Regulatory Authority (FINRA) became the latest organization to weigh in on distributed ledger technology (DLT), also known as blockchain. [read post]
19 Jun 2011, 11:37 pm
Block & Landsman joined other firms in filing a class action lawsuit against the Financial Industry Regulatory Authority (FINRA) seeking injunctive relief to stop the regulatory authority from violating the constitutional due process rights of registered representatives. [read post]
4 Feb 2016, 8:57 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
28 May 2020, 12:52 pm
FINRA Hits Stifel with more than $3.6 million in sanctions for sales of UITs According to the Financial Industry Regulatory Authority Inc. [read post]
31 Jan 2019, 12:42 pm
At the start of each year, regulatory agencies Financial Industry Regulatory Authority and the Securities and Exchange Commission publish their priorities. [read post]
19 Jan 2018, 11:12 am
Investigation involving Guillermo Valladolid According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Guillermo Valladolid (CRD # 4553357, La Jolla, CA) from the Securities Industry. [read post]
16 Apr 2018, 12:42 pm
Securities Investigation – Ron Ison – Buckman, Buckman & Reid According to a Letter of Acceptance, Waiver and Consent on theFinancial Industry Regulatory Authority’s website, the regulator has barred New Jersey financial advisor Ron Jason Ison (CRD No. 2897782) from working in the securities industry. [read post]
3 Apr 2018, 8:06 am
Olson Barred by FINRA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Florida advisor David W. [read post]
27 Dec 2017, 12:50 pm
Tinder According to the Financial Industry Regulatory Authority, the regulator has permanently barred Jed E. [read post]
13 Aug 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
