Search for: "Financial Industry Regulatory Authority"
Results 1661 - 1680
of 11,221
Sorted by Relevance
|
Sort by Date
6 Oct 2018, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Barber customer complaints allege that Barber made unsuitable recommendations in equity securities. [read post]
3 Oct 2023, 7:26 am
., a financial advisor based in New York, finds himself in the spotlight as the Financial Industry Regulatory Authority (FINRA) issues an Acceptance, Waiver, and Consent (AWC) order. [read post]
2 Jul 2024, 2:14 pm
FINRA Bars Jeffrey Higgins after Allegations of Misappropriation of Customer Funds According to the Financial Industry Regulatory Authority this week, the regulator has reportedly barred financial advisor Jeffrey Higgins (CRD #2871443) from working in the securities industry. [read post]
23 Jun 2023, 2:58 am
ESMA has started first discussions with Member State competent authorities as well as with industry, which have highlighted the importance of continuing to monitor international developments on T+1 and understanding the impact on EU market players. [read post]
13 Jul 2021, 8:42 am
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on July 1, 2021, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Stuart L. [read post]
22 Nov 2013, 7:40 am
Britain’s new Financial Conduct Authority came into being on April 1, 2013 as part of the new twin peaks regulatory regime under which the Financial Services Authority was replaced by the Financial Conduct Authority and the Prudential Regulation Authority, two new regulators with discrete remits. [read post]
14 May 2020, 12:40 pm
Financial Advisor Art Hoffman, Ameriprise Financial Services in Glendale, AZ According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator has reportedly barred financial advisor Arthur Hoffman after he apparently failed to provide information in its investigation about his alleged outside business activities. [read post]
14 Jan 2021, 7:15 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ryan Ashley Raskin from the securities industry. [read post]
2 Jul 2021, 9:52 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Stuart Pearl from the securities industry for three months. [read post]
8 Oct 2009, 9:16 am
Kanjorski (D-PA), Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, released discussion drafts of three pieces of legislation aimed at reforming the regulatory structure of the U.S. financial services industry. [read post]
27 May 2015, 9:30 pm
America’s financial regulatory system developed piecemeal. [read post]
7 Jul 2009, 6:44 am
If a firm is authorized to safeguard client assets, it should also be permitted to safeguard the assets of a fund, he reasoned. [read post]
10 Aug 2011, 6:19 pm
Citigroup Global Markets, Inc has been fined $500,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and detect securities fraud committed by former Smith Barney sales assistant Tamara Moon who worked in the firm's Palo Alto, California, branch office. [read post]
5 Sep 2016, 12:36 pm
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Thomas Stamborski (Stamborski) working out of Palatine, Illinois alleging that the broker failed to disclose certain changes to an outside business activity. [read post]
1 Apr 2008, 7:00 am
According to FINRA, the Financial Industry Regulatory Authority, it has charged registered representative John Edward Mullins, of Margate, NJ, with misappropriating almost $400,000 from a 97-year-old nursing home resident who was a Mullins' client for more than 20 years, as well as from her charitable foundation. [read post]
26 Dec 2017, 3:09 am
Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-fines-jp-morgan-securities-llc-28-million-customer-protection-rule-violations The Financial Industry Regulatory Authority fined J.P. [read post]
9 Nov 2018, 5:32 am
(Decision and Order, NYS Appellate Division, First Department; 2018 NY Slip Op 07843 / November 15, 2018)http://www.courts.state.ny.us/reporter/3dseries/2018/2018_07843.htmThe background of this matter is briefly synopsized in the NYS Appellate Division's Decision and Order as follows:Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
19 Oct 2018, 6:47 am
Kulwant Singh Sandhu, a/k/a Ken Sandhu, Defendant/Appellant (Memorandum, United States Court of Appeals for the Ninth Circuit, 17-10265)http://www.brokeandbroker.com/PDF/Sandhu9Cir.pdfDefendant Sandhu was convicted by jury in the Eastern District of California on two counts of making harassing telephone calls to the Securities and Exchange Commission and the Financial Industry Regulatory Authority in violation of 47 U.S.C. [read post]
5 Feb 2018, 2:58 am
The Financial Industry Regulatory Authority (“FINRA”) investigated Harris' and others' activities involving, in part, wire transfers from certain organizations allegedly controlled by Zirk de Maison and their relationship with Zirk Engelbrecht. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
