Search for: "Financial Industry Regulatory Authority"
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14 Sep 2022, 7:00 am
Shepherd, Smith, Edwards, and Kantas Has Been Fighting For Investors for Over 30 Years If you are an investor looking to pursue financial recovery for your investment losses caused by unsuitable investment recommendations, misrepresentations and omissions, unauthorized trading, or other grounds, there is a very good chance that you signed an agreement with your broker-dealer in which you both consented to resolve any disputes through the Financial Industry… [read post]
13 Sep 2022, 11:07 am
FINRA says BofA Securities Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances According to a press announcement on September 12, the Financial Industry Regulatory Authority (FINRA) has fined Bank of America Securities $5 Million for failing to report over-the-counter (OTC) options positions to the Large Options Positions Reporting system in more than 7.4 million instances, including 26 positions that were over the… [read post]
13 Sep 2022, 9:21 am
FINRA Reportedly Investigates Anchorage Financial Advisor Ronald Bailey for “Selling Away” According to a FINRA complaint on July 8, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly recommend that disciplinary action be brought against Ronald Coy Bailey (CRD #6270312) alleging violation of FINRA Rules 3280 and 2010 for in a private securities transaction without first receiving permission from, his member firm. [read post]
13 Sep 2022, 8:42 am
Our Houston Securities Attorneys and Investment Fraud Attorneys Can Help You Explore Your Legal Options Beginning August 26, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Doug Marshall McKelvey. [read post]
13 Sep 2022, 5:55 am
But this line of argument places too much faith in regulatory authorities which have, at times, been derelict in enforcing domestic and regional arms control laws. [read post]
12 Sep 2022, 12:23 pm
Sagepoint Reportedly Sanctioned for Supervisory Failures involving Unsuitable use of Margin According to public disclosures, the Financial Industry Regulatory Authority (FINRA) has reportedly censured and fined Sagepoint Financial $35,000 for supervisory failures on September 9, 2022. [read post]
12 Sep 2022, 7:23 am
FINRA Reportedly hits Canaccord Genuity Wealth Management (USA) for Supervisory Failures with Private Placement Investments According to a Letter of Acceptance Waiver and Consent posted last week, the Financial Industry Regulatory Authority (FINRA)reportedly sanctioned Canaccord Genuity Wealth Management (USA) on September 8 for supervisory failures in connection with 12 private placement offerings. [read post]
12 Sep 2022, 5:00 am
This observation does not exclude the possibility that specific uses of consumer data may constitute a potential market failure that merits regulatory scrutiny and possible intervention (assuming there is sufficient legal authority for the relevant agency to undertake any such intervention). [read post]
12 Sep 2022, 2:38 am
Changes to North Sea Change of Control Regime Notably for the oil and gas industry, the secretary of state will, under the Bill, be able to charge for certain regulatory functions of Ofgem. [read post]
11 Sep 2022, 9:01 pm
This speech expresses the author’s views and does not necessarily reflect those of the Commission, the Commissioners, or other members of the staff [read post]
9 Sep 2022, 12:36 pm
FINRA Complaint: Joseph Stone Capital to pay Restitution to Customers for Commissions, Fees The Financial Industry Regulatory Authority (FINRA) on September 8, 2022 reportedly censured Joseph Stone Capital, LLC for supervisory failures in connection with suitability requirements involving excessive trading, according to a Letter of Acceptance Waiver and Consent. [read post]
9 Sep 2022, 8:12 am
CFP Board was reportedly investigating Whited after the Financial Industry Regulatory Authority (FINRA) reportedly barred him from associating with any FINRA member at any time on November 15, 2021. [read post]
9 Sep 2022, 7:31 am
Moreover, the Financial Industry Regulatory Authority promulgates rules designed to protect investors—particularly those who are elderly or vulnerable—from being taken advantage of by advisors who borrow money on unfair terms or who borrow money without the intent or ability to ever repay. [read post]
8 Sep 2022, 9:04 pm
The authors concluded that apprehension about decreasing trade volume or significantly affecting prices should not be primary considerations for crypto regulatory decisions. [read post]
8 Sep 2022, 9:01 pm
Some in the crypto industry have called for greater “guidance” with respect to crypto tokens. [read post]
8 Sep 2022, 12:37 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Athas’s customer complaints alleges that Athas recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. [read post]
8 Sep 2022, 12:36 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mann’s customer complaints alleges that Mann recommended unsuitable investments in various investments including allegations involving debt-corporate securities, mutual funds, real estate securities and common and preferred stock, among other allegations of misconduct relating to the handling of their accounts. [read post]
8 Sep 2022, 11:36 am
Third Yield Enhancement Strategy Investors Award for Seasoned Securities Fraud Law Firm Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is thrilled to announce that on September 1, 2022, a Financial Industry Regulatory Authority (FINRA) arbitration panel ordered UBS Financial Services (UBS) to pay $468,126 to two customers and their trust over losses they sustained in the firm’s UBS Yield Enhancement Strategy program. [read post]
8 Sep 2022, 5:55 am
The gun industry’s successful lobbying for PLCAA — passed under the pretense of protecting companies from financial destruction — marked an end to this type of litigation. [read post]
7 Sep 2022, 9:01 pm
Those other auditors have audited the financial statements of one or more of the issuer’s subsidiaries, divisions, branches, components, or investments included in the issuer’s consolidated financial statements.[19] This audit engagement structure is not uncommon and is infused with professional requirements and responsibilities per PCAOB AS1205. [read post]
