Search for: "Financial Industry Regulatory Authority"
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12 Aug 2022, 11:23 am
By then, the Federal Trade Commission had already held a 2007 workshop on behavioral advertising and, in 2009, released a staff report with industry self-regulatory principles for online behavioral advertising. [read post]
12 Aug 2022, 10:26 am
I actually find many of the positions that Mark Zuckerberg has taken on critical industry issues--such as the need to regulate major platforms, but also on free speech issues--totally reasonable. [read post]
11 Aug 2022, 9:12 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
11 Aug 2022, 7:14 am
The first task force was concerned primarily with Chinese cyber industrial espionage and Beijing’s use of the Great Firewall to censor information and regulatory barriers to limit the competitiveness of American technology companies in the domestic economy. [read post]
10 Aug 2022, 3:18 pm
And, as strange as it may sound to those of us in the legal industry, law firms are not unique when it comes to collaborative behaviors. [read post]
10 Aug 2022, 8:54 am
FINRA Bars Robin Taliaferro, Irvine, CA, for Failure to Provide Information in its Investigation According to public documents, on July 15, 2022 the Financial Industry Regulatory Authority (FINRA) barred financial advisor Robin Taliaferro (CRD #442144) from working in the securities industry. [read post]
10 Aug 2022, 6:14 am
” On January 7, 2021, the Financial Industry Regulatory Authority (FINRA) barred Shafer after FINRA staff requested that Shafer appear for on-the-record testimony in its investigation of the above allegations. [read post]
9 Aug 2022, 7:00 am
Elderly couple alleges unsuitability and concentration in risky speculative junk bonds Two San Francisco retirees have filed a $500k Financial Industry Regulatory Authority (FINRA) case against NI Advisors, its President Sui-hock Goy, and broker Shirley Ank Wong. [read post]
8 Aug 2022, 7:00 am
Claimants file FINRA arbitration claim against National Securities Two Florida retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against National Securities Corp. [read post]
7 Aug 2022, 9:01 pm
The Basel Principles are intended “to accommodate a diverse range of banking systems” and to be applied “on a proportionate basis depending on the size, complexity and risk profile of the bank or banking sector for which the authority is responsible. [read post]
7 Aug 2022, 7:00 am
Claimants also name former LPL Financial brokers Edward Miller and Antonio Reyna Two investors were awarded $2.57m in their Financial Industry Regulatory Authority (FINRA) arbitration case against LPL Financial and Financial Resources Group. [read post]
5 Aug 2022, 12:02 pm
FINRA Suspends James Pecoraro, Spartan Capital after allegations of Excessive Trades According to public records posted to FINRA’s website, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended James Robert Pecoraro (CRD no. 2440231) for nine months after allegations of excessive trading. [read post]
5 Aug 2022, 7:00 am
Former New Port Richey, FL broker is also accused of selling away Francis Joseph Velten, most recently an Ameriprise Financial Services broker, is now barred by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Aug 2022, 4:00 am
ProPublica – Andrew Suozzo | Published: 8/2/2022 Forty members of Congress asked the IRS and the Treasury Department to investigate what the lawmakers termed an “alarming pattern” of right-wing advocacy groups registering with the tax agency as churches, a move that allows the organizations to shield themselves from some financial reporting requirements and makes it easier to avoid audits. [read post]
4 Aug 2022, 7:00 am
Claimant files FINRA arbitration claim for up to six figures in damages A Houston, Texas investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Centaurus Financial after he sustained losses in GWG Holdings L Bonds. [read post]
3 Aug 2022, 10:28 pm
The key industry body is InsurTech Australia. [read post]
3 Aug 2022, 3:08 pm
ROSCA does not define “consumer” but it incorporates the FTC’s enforcement authority under the FTC Act. [read post]
3 Aug 2022, 12:07 pm
On one hand, the brokers are required to provide best execution – an obligation for broker-dealer to exercise reasonable care to execute a customer's order by obtaining the most advantageous terms for the customer – to their clients as required by the Financial Industry Regulatory Authority (“FINRA”) regulation. [read post]
3 Aug 2022, 10:56 am
FINRA Bars Ernest Frerking after Allegations of Broker Misconduct According to public records posted to FINRA’s website, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Ernest Frerking (CRD #2588177) from associating with any FINRA member at any time. [read post]
3 Aug 2022, 8:59 am
The NDAA authorized the precursing CHIPS Act at the end of 2020, but it did not provide specific appropriations. [read post]
