Search for: "Financial Industry Regulatory Authority"
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3 Nov 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
3 Nov 2022, 2:35 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Nov 2022, 11:41 am
FINRA hits Western International Securities with $400,000 Fine plus Restitution for Supervisory Failures regarding Non-traded REITs According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority sanctioned Western International Securities for alleged supervisory failures regarding non-traded REITs. [read post]
3 Nov 2022, 7:20 am
After providing an overview of the report, we discuss its key findings, the discrete consumer harms and risks identified by the CFPB, how the CFPB might use its supervisory, regulatory, and enforcement authority in the BNPL market and the likelihood of such use, and state law enforcement and other state activity involving BNPL. [read post]
2 Nov 2022, 5:01 am
In others—for example, CBEST, the Federal Risk and Authorization Management Program (FedRAMP), and the U.S. [read post]
31 Oct 2022, 8:00 am
Per the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), three of the most common investment fraud tactics employed by scammers in the United States are known as the “phantom riches” tactic, the “source credibility” tactic, and the “social consensus” tactic. [1] Each tactic essentially functions by allowing the fraudster to build a false narrative surrounding their supposed… [read post]
31 Oct 2022, 4:22 am
Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, RBC Capital Markets submitted a Letter of Acceptanc... [read post]
28 Oct 2022, 12:07 pm
Stamer helps health industry and other organizations and their management manage. [read post]
28 Oct 2022, 4:00 am
Those exemptions are now slated for a regulatory rewrite, with implications for lawyers, both those hoping to provide clarity to clients on whether they need to register and others concerned about their own need to file. [read post]
28 Oct 2022, 4:00 am
For the past decade or so, its majority financial backers have been Caixa Capital Risc, which has now sold it on. [read post]
27 Oct 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
27 Oct 2022, 11:22 am
In the recently published IDC MarketScape report, Relativity was named the Leader in eDiscovery review, demonstrating industry confidence in the company’s offerings and strategic direction. [read post]
27 Oct 2022, 6:05 am
Potential Lawsuits to Recover Investment Losses Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
25 Oct 2022, 8:05 pm
Customers Accuse New York Financial Advisor of Broker Misconduct In the Financial Industry Regulatory Authority’s (FINRA’s) first disciplinary action related to Regulation Best Interest, the SRO has imposed a $5K fine and six-month suspension against former Network 1 Financial Securities financial advisor Charles Vincent Malico in Huntington Station, New York. [read post]
25 Oct 2022, 7:27 pm
The ex-Chicago financial advisor, who was barred from the Financial Industry Regulatory Authority (FINRA) in 2021 for not cooperating in the self-regulatory organization’s (SR0’s) probe, is accused of stealing $1.3M from an older client with dementia. [read post]
25 Oct 2022, 7:21 pm
Most notably, we have filed a number of Financial Industry Regulatory Authority (FINRA) arbitration cases against this broker-dealer related to Northstar Financial Services (Bermuda) products. [read post]
25 Oct 2022, 10:18 am
This diversification should align as well with the investor’s investment objectives and financial circumstances.The Financial Industry Regulatory Authority (FINRA) Rule 2111 establishes brokers’ and investment advisors’ responsibility to handle their customers fairly by honoring the tenets of reasonable-basis suitability, customer-specific suitability, and quantitative suitability. [read post]
24 Oct 2022, 10:32 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
24 Oct 2022, 9:04 am
Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an? [read post]
24 Oct 2022, 8:00 am
In the United States, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) each offer investor resources for reducing the risk of investment fraud. [read post]
