Search for: "Financial Industry Regulatory Authority"
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17 Jan 2023, 3:00 am
Therefore, private litigation is needed to serve a regulatory function as well. [read post]
15 Jan 2023, 6:19 pm
The Human Foods Program should have clear lines of authority. [read post]
15 Jan 2023, 2:35 pm
Industry Expert Article* Cooperation Standards in Government Investigations: Practical Tips By Owen Russell, Giel Stein, Ashish Prasad, and Michael Sarlo Cooperation with law enforcement is a strategy that every corporation involved in a government investigation must consider. [read post]
12 Jan 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
11 Jan 2023, 11:01 am
On December 29, 2022, the Financial Industry Regulatory Authority (FINRA) found, in a regulatory proceeding, that between May 4, 2018, and June 29, 2018, Center Street negligently failed to tell 20 investors, and Moloney Securities negligently failed to tell 37 investors, that GPB issuers failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [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]
10 Jan 2023, 7:12 pm
Pix Credit here Chinese authorities have unveiled their Draft Social Credit Law (comment was open through 14 December 2022) (Law of the PRC on the Establishment of the Social Credit System (Draft Released for Solicitation of Public Comment). [read post]
9 Jan 2023, 10:11 am
On November 2, 2022, the Financial Industry Regulatory Authority (FINRA), in a regulatory proceeding against Wedbush Securities, found that, from January 2013 to December 2018, it sent account statements to 610 customers which negligently misrepresented that certain corporate and municipal bonds were making their interest and principal payments when, in fact, the bond was in default. [read post]
5 Jan 2023, 8:38 am
FINRA orders Center Street Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 29, 2022, the Financial Industry Regulatory Authority (FINRA) has censured and fined Center Street Securities $70,000 and ordered the firm to pay partial restitution of $89,652.50, plus interest. [read post]
30 Dec 2022, 7:37 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
30 Dec 2022, 6:22 am
Broker-Dealer Ordered To Pay$11.5M After Losing FINRA Lawsuit A Financial Industry Regulatory Authority (FINRA lawsuit) arbitration panel has ordered Morgan Stanley to pay one investor $11.5M in damages over losses sustained by using a covered call options strategy. [read post]
30 Dec 2022, 6:21 am
If you suspect that you unsuitably recommended and sold JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP) and you sustained serious investment losses, you may be able to file a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer if alleged brokerage firm negligence or fraud was involved. [read post]
30 Dec 2022, 6:14 am
Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. [read post]
29 Dec 2022, 9:05 pm
In lieu of our regular Friday feature—the Week in Review—The Regulatory Review is recapping some of the top regulatory news from the past year, including major U.S. [read post]
29 Dec 2022, 9:38 am
FINRA orders Moloney Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 28, 2022, the Financial Industry Regulatory Authority (FINRA) has censured Moloney Securities Co. $60,000 and ordered the firm to pay partial restitution of $268,082.64, plus interest. [read post]
27 Dec 2022, 9:05 pm
The Regulatory Review is pleased to highlight the top 50 essays from 2022 authored by our staff. [read post]
27 Dec 2022, 6:47 am
John Terzis Allegedly Borrowed $200,000 from a Customer According to a Letter of Acceptance Waiver and Consent on December 23, 2022, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor John Nicholas Terzis (CRD #1805020) from associating with any FINRA member at any time after his member firm reportedly dismissed him for “failing to timely disclose a loan arrangement with a customer of the firm. [read post]
26 Dec 2022, 6:14 am
Authors Chris Davis and Joshua Smeltzer Originally Published by the Texas Lawbook. [read post]
25 Dec 2022, 9:03 pm
Going forward, the Financial Conduct Authority and the Prudential Regulation Authority would have to consider impacts on growth and international competitiveness as part of their ongoing supervisory and regulatory activities. [read post]
21 Dec 2022, 3:31 pm
Feinstein, Identity-Conscious Administrative Law: Lessons from Financial Regulators, 90 Geo. [read post]
