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4 Apr 2023, 1:19 pm
From July 2016 through July 2021, Fortune’s supervisory system allegedly failed to achieve compliance with FINRA suitability requirements regarding the recommendation of variable annuities. [read post]
2 Aug 2016, 11:30 am
According to the Financial Industry Regulatory Authority (FINRA) between July 1, 2009 and July 1, 2015 Securities America, an independent-broker dealer, failed to waive sales charges on mutual funds to the tune of $1.34 million. [read post]
15 Aug 2017, 10:06 am
On July 21, 2017, FINRA staff apparently sent Blum’s counsel a written request for on-the-record testimony pursuant to FINRA Rule 8210. [read post]
6 Dec 2017, 9:53 am
BB&T estimates that approximately 865 accounts were overcharged approximately $331,983 for mutual fund purchases made since July 1, 2009. [read post]
2 Jun 2008, 9:10 am
Solicitor General, will be nominated to be Solicitor General, the White House announced Monday. [read post]
8 Aug 2013, 6:00 am
On July 1, NIST published a draft outline of the Framework. [read post]
29 Sep 2021, 7:41 pm
(The White House, Promoting Competition in the American Economy). [read post]
5 Jul 2011, 1:09 pm
According to a CBS Los Angeles news report, the fatal pedestrian accident occurred the early morning of July 3, 2011 in San Pedro. [read post]
25 Jul 2019, 10:50 am
A white car also started passing traffic when it reportedly rear-ended the pickup. [read post]
19 Dec 2012, 4:26 am
Source: The White House [read post]
25 Oct 2017, 1:01 am
McGregor, New York, 1885, working on his memoirs Grant died on July 23, 1885 only a few days after finishing his manuscript. [read post]
29 Jul 2015, 10:42 pm
”Just another 100 degree July day in the trenches of our continuing racial divide.But, some of the neo-Nazi's, apparently weren't used to Palmetto State summers. [read post]
31 Jul 2009, 11:52 am
July 29, 2009) [read post]
29 Jul 2009, 7:23 am
July 28, 2009 President Barack Obama The White House 1600 Pennsylvania Avenue NW Washington, DC 20500 Dear President Obama: On May 8, 2007, your presidential campaign promised America’s whistleblowers in writing that you stood behind their need for legal protection and fully supported federal court access and jury trials for all federal employees. [read post]
1 Aug 2023, 11:44 am
Billy Stanage Allegedly Obtained Loan from Client On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred financial advisor Billy Stanage Jr. after he reportedly failed to provide information in its investigation. [read post]
12 Jul 2022, 11:22 am
SEC Reportedly Charges Ex- LPL Advisor Eric Hollifield with $1.7 M Fraud According to a litigation release on July 1, the SEC has charged former LPL Financial advisor Eric Hollifield (CRD#: 3091319) with allegedly misappropriating at least $1.7 million from two advisory clients and one brokerage customer and using the funds to pay for personal expenses, including the purchase of a home in Winder, Georgia. [read post]
24 Jul 2023, 10:51 am
On July 18, 2023, FINRA reportedly barred Bryant after she reportedly refused to appear for on-the-record testimony in connection with its investigation into whether she engaged in private securities transactions without providing prior written notice to, and receiving prior written approval from, her member firm. [read post]
29 Jun 2016, 11:29 am
Martin was registered with GF Investment Services from July 2009 to July 2015. [read post]
24 May 2023, 1:01 am
., immigrants of color versus white immigrants.] [read post]
29 Jul 2015, 6:48 am
(The July 6 proposal spans 98 pages in the Federal Register compared to the 38 pages that set out the 2003 proposal.) [read post]
