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25 Jul 2022, 4:10 am
2017 FINRA Offer of SettlementIn response to the filing of a Complaint on July 15, 2016, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Robert Edward Loftus submitted an Offer of Settlement dated March 10, 2017, which the regulator accepted. [read post]
24 Jul 2022, 11:30 pm
This will provide the Financial Sector Conduct Authority with regulatory oversight over the cryptocurrency market. [read post]
22 Jul 2022, 8:55 am
Chopra in a July 11 blog post reiterated industry practices that his agency considers troublesome and ripe for regulatory action. [read post]
21 Jul 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
21 Jul 2022, 10:39 am
If ultimately enacted as law, even a scaled-back version of this amendment could significantly alter the Bank Secrecy Act/Anti-Money Laundering (“BSA/AML”) regulatory framework in the United States. [read post]
21 Jul 2022, 7:02 am
We think this is a step in the right direction; it is clear the SEC recognizes that the digital asset space is growing and that greater resources need to be brought to bear on the industry. [read post]
21 Jul 2022, 6:46 am
Retaining Experienced SEC Whistleblower Lawyers Whistleblowers help the public by notifying authorities of harmful conduct, while also earning financial compensation for themselves. [read post]
21 Jul 2022, 3:02 am
We think this is a step in the right direction; it is clear the SEC recognizes that the digital asset space is growing and that greater resources need to be brought to bear on the industry. [read post]
20 Jul 2022, 12:17 pm
Hiko, Nevada Financial Advisor, BL Whipple Wealth Management, LLC Three investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Newbridge Securities. [read post]
20 Jul 2022, 11:25 am
The first consultation was published in October 2020 and looked at coordination between the UK regulatory authorities. [read post]
19 Jul 2022, 2:59 pm
Here is the authors’ article **************** I. [read post]
19 Jul 2022, 6:14 am
Not surprisingly, several of the authors (Kramer, Cranor, Soskolne) have worked closely in tandem with the lawsuit industry, and have derived financial rewards for their efforts. [read post]
18 Jul 2022, 2:46 pm
The derivative action pursued by ClientEarth is also a continuation of other recent shareholder actions it has launched in other jurisdictions, including a shareholder action against the Polish power industry company Enea SA, which resulted in the Polish Court finding that the resolution authorizing the construction of a new coal-fired power plant was legally invalid. [read post]
18 Jul 2022, 10:56 am
” The panel will share their experiences in employee representation as it relates to industry rules set forth by the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC), respectively applying to financial professionals registered with broker dealer and investment advisory institutions. [read post]
18 Jul 2022, 9:35 am
Claimants Allege Unsuitability, Concentration, and Misrepresentation Investors from Utah and Arizona have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $1M in damages related to their GWG Holdings L Bond losses. [read post]
17 Jul 2022, 9:05 pm
Furthermore, allowances were introduced for raw milk that provides exemptions from regulatory oversight. [read post]
15 Jul 2022, 11:30 am
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to the Financial Industry Regulatory Authority (FINRA) According to an article in Yahoo Finance on July 13, the Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to the Financial Industry Regulatory… [read post]
14 Jul 2022, 8:58 am
On March 21, 2022, the Financial Industry Regulatory Authority (FINRA) ordered Dempsey Lord Smith, LLC (“Dempsey Lord Smith”) to pay nearly $100,000 in monetary fines and restitution for negligently omitting to tell four investors in an offering related to GPB Capital Holdings, LLC (“GPB Capital”) that the issuer failed to timely make required filings with the Securities and Exchange Commission (“SEC”), including filing audited… [read post]
14 Jul 2022, 7:01 am
The companies jointly issued a “self-disciplined development proposal” for the “digital collectible industry,” a rebranded term for NFTs in China to do away with the technology’s financial aspects. [read post]
13 Jul 2022, 9:23 am
Two FINRA Arbitration Panels Order Firm To Pay UBS YES Customers for Their Losses In separate UBS Yield Enhancement Strategy (UBS YES) investor cases, two Financial Industry Regulatory Authority (FINRA) arbitration panels have awarded UBS Financial Services customers $1.18M and $1.4M, respectively. [read post]
