Search for: "Financial Industry Regulatory Authority"
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23 Aug 2022, 10:22 am
In July 2022, the New York State Department of Financial Services issued an Industry Letter providing guidance on overdraft and NSF fees to depository institutions that it supervises. [read post]
22 Aug 2022, 9:01 pm
Industry leaders and regulatory authorities should engage with open minds and a willingness to discuss practical actions to mitigate current risks in the system while comprehensive legislation may yet be years away. [read post]
22 Aug 2022, 7:00 am
Irvine, CA Claimants Are Pursuing Up To $500K in Damages from American Trust Investment Services Three Southern California investors have filed a six-figure Financial Industry Regulatory Authority (FINRA) arbitration claim against broker-dealer American Trust Investment Services over their GWG L Bond losses. [read post]
20 Aug 2022, 7:00 am
Brokerage Firm Allegedly Pursued Commissions over Customers’ Best Interests Three Illinois retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Moloney Securities, pursuing up to six figures in damages for bond losses sustained in GWG Holdings L Bonds. [read post]
19 Aug 2022, 8:54 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Aug 2022, 5:01 am
OFAC doesn’t have consumer protection interest or authority, nor does it investigate the various other “little” crimes (such as billion-dollar Ponzi schemes or industrial-scale securities fraud) that infest the cryptocurrency space. [read post]
19 Aug 2022, 4:42 am
The note required any disputes to be arbitrated pursuant to the Financial Industry Regulatory Authority (hereinafter FINRA) Code of Arbitration Procedure for Industry Disputes. [read post]
18 Aug 2022, 7:00 am
FINRA suspends former Florida Financial Advisor The Financial Industry Regulatory Authority (FINRA) has indefinitely suspended ex-broker Chad Ryan Barancyk after he failed to respond to the self-regulatory organization’s probe. [read post]
17 Aug 2022, 5:50 pm
The Nuix platform supports a range of use cases, including criminal investigations, financial crime, litigation support, employee and insider investigations, legal eDiscovery, data protection and privacy, and data governance and regulatory compliance. [read post]
17 Aug 2022, 9:30 am
FINRA Reportedly Suspends Daniel Minich for Allegations of Selling Away from the Firm According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly reached a settlement agreement with financial advisor Daniel T. [read post]
17 Aug 2022, 7:03 am
FINRA sanctions Axiom for allegedly ignoring red flags with private placement offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
17 Aug 2022, 7:00 am
Customer of Former New York Financial Advisor Is Requesting Over $850K in Damages In July 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Joseph Albert Ambrosole after he refused to testify in the self-regulatory organization’s (SRO) probe. [read post]
17 Aug 2022, 6:56 am
FINRA Sanctions Axiom for Allegedly Ignoring Red Flags with Private Placement Offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
16 Aug 2022, 3:31 pm
The Korean Financial Services Commission presented its intentions to enhance the rules governing cloud computing and network separation in the Korean financial industry on April 14, 2022. [read post]
16 Aug 2022, 6:26 am
New York Broker Allegedly Cost Customers Six-Figure Losses, Trading Costs, and Commissions The Financial Industry Regulatory Authority (FINRA) has suspended Spartan Capital Securities financial advisor James Robert Pecoraro for nine months. [read post]
14 Aug 2022, 9:02 pm
This model could be a spring of hope for future economic development agreements.The post A Tale of Two Cities’ Diversifying Economies first appeared on The Regulatory Review. [read post]
14 Aug 2022, 9:01 pm
Instead, our securities markets operate within an infrastructure of actors with defined roles and responsibilities who are comprehensively supervised by multiple federal, state and industry regulatory authorities. [read post]
14 Aug 2022, 12:01 pm
While other Chinese authorities have also been active in a regulatory rectification unleashed in November 2020 with the last-minute suspension of the Ant Group’s planned IPO, the CAC is no ordinary Chinese regulatory agency. [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, United States Court of Appeals for the District of Columbia Circuit, No. 21-1088 / August 16, 2022)SEC Charges Three Chicago-Area Residents with Insider Trading Around Equifax Data Breach Announcement (SEC Release)SEC Sues Three Entities and Their Founder for Unregistered Crypto Asset Securities Offerings (SEC Release)SEC Charges 18 Defendants in… [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, DCCir)How Regulatory Sandbox Programs Can Promote Technological Innovation and Consumer Welfare / Insights from Federal and State Experience (OnPoint, Competitive Enterprise Institute by Ryan Nabil)Investment Scam Ringleader Pleads Guilty After Being Recorded Paying Cash Kickbacks at Boca Raton Starbucks (DOJ Release)Former Member of… [read post]
