Search for: "Financial Industry Regulatory Authority"
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13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
12 Jul 2022, 11:22 am
(CRD#:18456), DACULA, GAHollifield’s broker report further indicates that the Financial Industry Regulatory Authority (FINRA) barred him from the securities industry in October 2021 after his former member firm, LPL Financial discharged him. [read post]
11 Jul 2022, 11:29 am
FINRA Bars William “Ed” Torriente, Comerica Securities, after Allegations of Unauthorized Trading According to a Letter of Acceptance Waiver and Consent on July 6, the Financial Industry Regulatory Authority (FINRA) has reportedly barred William “Ed” Torriente (CRD#: 4255814) after he refused to appear for and provide on-the-record testimony requested by FINRA in connection with its investigation into the allegations… [read post]
11 Jul 2022, 10:52 am
FINRA Bars David Karandos, Dinosaur Financial, after Allegations of Unsuitable Investments According to a Letter of Acceptance Waiver and Consent on July 7 , the Financial Industry Regulatory Authority (FINRA) has reportedly barred David Michael Karandos (CRD#: 1934119) after he consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA. [read post]
11 Jul 2022, 8:56 am
FINRA Censures and Fines McDonald Partners LLC in connection with Private Placement Investments According to The Financial Industry Regulatory Authority (FINRA) on June 22, the regulator censured and fined McDonald Partners LLC $100,000 and ordered it to pay restitution of $170,000 plus interest for alleged rules violations in connection with the sales of private placement investments. [read post]
11 Jul 2022, 3:51 am
Fair Credit Reporting Act (FCRA) and Regulation S-P by "Regulated or Aggrieved"The authors of this article happened to recently evaluate and review the implications of the Fair Credit Reporting Act and Regulation S-P and determined that much of the data contained in the databases of Equifax, Experian and TransUnion and those collected from Customers under Regulation S-P are similar to the data collected by the Central Registration Depository (CRD) that is maintained by the… [read post]
10 Jul 2022, 9:08 pm
We have also supported companies in the financial services and health care industries as they develop their responsible AI procurement processes. [read post]
10 Jul 2022, 9:08 pm
We have also supported companies in the financial services and health care industries as they develop their responsible AI procurement processes. [read post]
8 Jul 2022, 6:27 am
On June 23, 2022, the Financial Industry Regulatory Authority (FINRA) ordered National Securities Corporation (“NSC”) to pay nearly $9 million in monetary fines and restitution for violating various SEC, NASD, and FINRA rules, including negligently omitting material facts to retail investors connected with offerings related to GPB Capital Holdings, LLC (“GPB Capital”). [read post]
7 Jul 2022, 9:14 pm
In developing the plan, the Interior Department considered industry interest and the distribution of environmental risks among the regions that would be affected. [read post]
7 Jul 2022, 11:30 am
Chamber of Commerce also sent two separate letters to Director Chopra as part of its announced campaign “to expose and defeat [Director Chopra’s] ideologically driven agenda to radically change the nature of America’s financial services industry. [read post]
6 Jul 2022, 6:56 pm
The last essay considers the regulatory application of ‘wokeness’ in China by considering recent Chinese efforts to report online expression that violates community standards, and the regulation of algorithmically based recommendations systems. [read post]
6 Jul 2022, 12:33 pm
Texas Retiree Files Six-Figure FINRA Arbitration Claim Over Her Investment Losses An Austin, TX investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. [read post]
6 Jul 2022, 12:06 pm
Stamer also shares her thought leadership, experience and advocacy on these and other concerns by her service as a practicing attorney, as well as as an industry, policy management consultant, and policy strategist as well through her leadership participation in professional and civic organizations. [read post]
6 Jul 2022, 11:13 am
When it comes to claims against broker-dealers, Silver Law works with clients to submit complaints with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers, and the Securities and Exchange Commission. [read post]
6 Jul 2022, 10:12 am
Investors may choose to file a claim with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
6 Jul 2022, 9:07 am
We have also seen increased enforcement of the UK Bribery Act 2010 (UK Bribery Act) by the SFO against financial institutions, including deferred prosecution agreements and reported SFO investigations in the insurance industry. [read post]
6 Jul 2022, 8:44 am
Silver Law may initiate arbitration claims against the brokers, as well as begin proceedings against the broker-dealers with the Financial Industry Regulatory Authority (FINRA), the government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
6 Jul 2022, 8:06 am
Therefore, your best bet for recovery may be through a Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
