Search for: "Financial Industry Regulatory Authority"
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24 Aug 2020, 12:52 pm
., Halletsville, TX According to public records, the Financial Industry Regulatory Authority (FINRA) on March 26, 2020 has barred Kenneth Butschek from associating with any FINRA member at any time after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
11 Jun 2016, 7:11 am
The complaint was filed The Financial Industry Regulatory Authority (FINRA) and involved multiple brokerage firms that hired advisor Ahmad Hashemian. [read post]
9 Apr 2011, 10:23 am
The Securities and Exchange Commission (SEC) has approved two rules proposed by the Financial Industry Regulatory Authority (FINRA) which will benefit investors. [read post]
29 Sep 2010, 9:38 am
The Financial Industry Regulatory Authority (FINRA) has proposed giving investors filing arbitration claims the option of having an all-public arbitration panel, significantly increasing investor choice in the FINRA arbitration program. [read post]
15 Jul 2022, 11:30 am
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to the Financial Industry Regulatory Authority (FINRA) According to an article in Yahoo Finance on July 13, the Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to the Financial Industry Regulatory… [read post]
31 Mar 2016, 12:10 pm
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Robert Cross (Cross) (FINRA No. 2014041637201) of Rome, Georgia. [read post]
10 Oct 2023, 9:42 am
’s broader financial regulatory regime contained in the U.K. [read post]
4 Jan 2016, 7:25 am
Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044444801). [read post]
3 Mar 2009, 3:31 am
The report makes 31 recommendations, split between supervisory and regulatory issues, for the reform of financial services supervision. [read post]
7 Nov 2013, 8:05 am
BrokerCheck is a free online database provided by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Dec 2020, 8:31 am
Martin “Marty” Evans Reportedly Suspended for Allegations of Impersonating Clients The Financial Industry Regulatory Authority has reportedly suspended and fined a former Ameriprise broker, Martin “Marty” Evans who allegedly impersonated customers trying to obtain their account information, according to an article in Financial Advisor IQ. [read post]
18 Nov 2008, 6:30 pm
It recommends the establishment of an independent umbrella organization — the US Financial Services Authority — and that reorganization be staged in a series of phased steps whereby the most important coordinating and oversight functions are first consolidated under this organization and the supervisory components of the industry integrated at a later date. [read post]
12 Apr 2012, 1:07 pm
As EU authorities ready technical standards under the European Market Infrastructure Regulation (EMIR) for OTC derivatives, the hedge fund industry has asked for certain assurances and clarifications around risk mitigation. [read post]
31 May 2018, 6:47 am
Stoltmann Law Offices is investigating former Cetera Advisors broker Craig Blattner, who was recently fined and suspended by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Jan 2012, 9:00 pm
The Securities Industry and Financial Markets Association wants the Financial Industry Regulatory Authority Inc. to prevent brokers from being able to plead poverty to escape arbitration payment orders. [read post]
14 Jun 2021, 8:09 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Peter Suyama from the securities industry for 20 days. [read post]
1 Jan 2018, 9:20 pm
” This series in The Regulatory Review includes nine essays authored by our writers and editors, each focused on a separate chapter in Achieving Regulatory Excellence. [read post]
30 Oct 2017, 3:20 am
BrokeAndBroker.com Blog's publisher Bill Singer, Esq. has long criticized the Financial Industry Regulatory Authority's expungement protocol as unfair, burdensome, expensive, and moronic. [read post]
5 Apr 2015, 9:30 pm
Congress and the President have a much more politically feasible option: pass a law giving federal agencies authority to harmonize their rules and regulatory activities. [read post]
FINRA arbitration filed against Questar Capital and Centaurus Financial to recover investment losses
9 Feb 2015, 10:56 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Questar Capital and Centaurus Financial. [read post]
