Search for: "Financial Industry Regulatory Authority"
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30 Sep 2022, 9:06 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Goodbred from working in the securities industry on February 16, 2021 after he allegedly refused to provide information in FINRA’s investigation regarding his alleged dismissal from LPL. [read post]
29 Sep 2022, 9:09 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Rohit Chopra, director of the Consumer Financial Protection Bureau, discussed the need for structural deterrents to large financial firms who repeatedly violate the law. [read post]
28 Sep 2022, 6:33 am
Broker-Dealers May Have Unsuitably Sold This Risky Investment To Retail Customers and Retirees If your broker recommended that you purchase shares in Atlas Growth Partners, LP, you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer. [read post]
26 Sep 2022, 7:59 pm
Stamer helps health industry and other organizations and their management manage. [read post]
26 Sep 2022, 9:08 am
Proc. 2019-48 allows certain taxpayers to use a special transportation industry rate or to use rates under a high-low substantiation method for certain high-cost localities. [read post]
26 Sep 2022, 8:59 am
Appelbaum reportedly agreed to sanctions by the Financial Industry Regulatory Authority to be barred from the securities industry after he allegedly failed to provide information in its investigation. [read post]
26 Sep 2022, 7:33 am
As the firm’s website explains, their lawyers “have represented clients in matters initiated by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority . . . and local prosecuting authorities. [read post]
25 Sep 2022, 10:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Schmitz’s customer complaints alleges that Schmitz engaged in misconduct relating to the handling of their accounts, including lack of fiduciary responsibility. [read post]
25 Sep 2022, 10:51 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Nowak’s customer complaint alleges that Nowak made misrepresentations with respect to securities transactions to customers. [read post]
23 Sep 2022, 4:00 am
Old Money: How retirees are funding and fueling political candidates unlike ever before Yahoo News – Madison Hall (Business Insider) | Published: 9/20/2022 Retirees are becoming one of the most powerful financial forces in politics as they spend their savings to fuel federal-level campaigns. [read post]
22 Sep 2022, 1:55 pm
Stamer helps health industry and other organizations and their management manage. [read post]
22 Sep 2022, 12:25 pm
Customers Who Are The Victims of Churning May Be Able To Recover Damages The Financial Industry Regulatory Authority (FINRA) has ordered Joseph Stone Capital and a number of its registered representatives to pay $1M in restitution for allegedly excessively trading in customers’ accounts. [read post]
22 Sep 2022, 8:41 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2022, 8:06 am
IBN Financial Services Censured and Fined $30,000 for Supervisory Failures According to a Letter of Acceptance, Waiver and Consent, the Financial Industry Regulatory Authority has reportedly censured and fined IBN Financial Services, Inc $30,000 for supervisory failures. [read post]
22 Sep 2022, 7:26 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
22 Sep 2022, 3:25 am
Stamer helps health industry and other organizations and their management manage. [read post]
21 Sep 2022, 6:26 pm
For more information about these or other health or other legal, management or public policy developments, please contact the author Cynthia Marcotte Stamer via e-mail or via telephone at (214) 452 -8297. [read post]
21 Sep 2022, 11:32 am
Regulators Focus on Reverse Churning The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are both keeping an eye on account transitions, according to an article in Investment News. [read post]
21 Sep 2022, 11:00 am
We have previously pointed out that the implications of the proposed Rule extend beyond motor vehicle dealers and the FTC’s enforcement jurisdiction, as auto finance and leasing companies subject to the Consumer Financial Protection Bureau’s enforcement authority could potentially face UDAAP liability for dealer violations of the proposed Rule. [read post]
21 Sep 2022, 6:03 am
When financial advisors fail to cooperate with a FINRA investigation, FINRA Rule 8210 provides FINRA with the authority to essentially end the advisor’s career. [read post]
