Search for: "Financial Industry Regulatory Authority"
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2 Apr 2024, 1:27 pm
Colombia does not have laws regulating cryptocurrencies; however, its financial authorities have issued warnings about the risks associated with crypto trading, and the country seeks to create a supportive regulatory framework for cryptocurrencies. [read post]
2 Apr 2024, 10:12 am
Allegedly Misappropriated Customer’s Funds According to a letter of acceptance on April1, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former Ameriprise Financial advisor John Engler Sr. [read post]
1 Apr 2024, 7:14 pm
These records must be readily available for inspection by regulatory authorities. [read post]
30 Mar 2024, 8:08 pm
The data will be used by the FCC to prepare its annual report to Congress on cable industry prices. [read post]
28 Mar 2024, 9:05 pm
Examples offered by DOJ included a company paying bribes in exchange for regulatory approvals and “doctoring the books” to conceal those, as well as a chief financial officer forging loan documents. [read post]
28 Mar 2024, 6:56 pm
Depending on the industry, the SBA standard’s employee and revenue thresholds can vary significantly. [read post]
28 Mar 2024, 2:56 pm
For the last 50 years, EPA has buckled to pressure from the chemical industry, and basically done nothing to protect millions of Americans from breathing a life-threatening, cancer-causing chemical known as “ethylene oxide” (ETO). [read post]
28 Mar 2024, 10:36 am
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former SagePoint Financial advisor Juan Carlos Sosa (CRD#: 4059846) from associating with any FINRA member at any time. [read post]
28 Mar 2024, 9:50 am
On 28 March 2024, the Bank of England (BoE) and Financial Conduct Authority (FCA) published a joint response to phase two industry recommendations and future strategy. [read post]
26 Mar 2024, 2:48 pm
By late March 2023, the Financial Industry Regulatory Authority (FINRA) requested BP provide a deal chronology, including the names of those who were “in the know” before the acquisition. [read post]
26 Mar 2024, 8:11 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
25 Mar 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
25 Mar 2024, 8:44 pm
Our Securities Arbitration Attorneys Represent Investors In Suing Their Brokers If you are an investor who is pursuing damages from your financial advisor, then you will likely have to file your claim in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
25 Mar 2024, 9:25 am
The ex-Coastal Equities financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) last year after investors accused him of allegedly unsuitably recommending over $2.3M in illiquid alternative investments, overconcentrating their accounts with them, and making misrepresentations about the risks. [read post]
25 Mar 2024, 7:17 am
It has several legislative and regulatory tools at its disposal, and it has the authority to conduct inspections, send Warning Letters, and initiate recalls as necessary. [read post]
25 Mar 2024, 7:17 am
It has several legislative and regulatory tools at its disposal, and it has the authority to conduct inspections, send Warning Letters, and initiate recalls as necessary. [read post]
25 Mar 2024, 7:17 am
It has several legislative and regulatory tools at its disposal, and it has the authority to conduct inspections, send Warning Letters, and initiate recalls as necessary. [read post]
25 Mar 2024, 6:38 am
Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers and health care… [read post]
25 Mar 2024, 1:07 am
Regarding the attraction of investments, the provisional measure forecasts incentives to relocate industrial plants from other countries in Brazil, offering the right to financial credit as an advantage. [read post]
23 Mar 2024, 6:13 pm
If you have any questions, please reach out to the author or your Locke Lord partner. [read post]
