Search for: "Financial Industry Regulatory Authority"
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20 Jan 2019, 11:25 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor George McCaffrey (McCaffrey), formerly associated with NTB Financial Corporation (NTB Financial), in September 2018, was sanctioned and suspended from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
28 Sep 2009, 3:54 pm
Citigroup Global Markets, Deutsche Bank Securities, and UBS Securities have agreed to pay fines for Financial Industry Regulatory Authority sanctions over their handling of Vonage LLC stock's initial public offering in 2006. [read post]
27 Jul 2011, 5:45 am
The Financial Industry Regulatory Authority (FINRA) has fined SunTrust Robinson Humphrey (SunTrust RH) and SunTrust Investment Services (SunTrust IS) $5 million for violations connected to sales of auction-rate securities. [read post]
31 Aug 2012, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
17 Nov 2010, 3:21 pm
Mandated by Dodd-Frank to assist the Financial Stability Oversight Council in its work , the Office of Financial Research is working with regulators and industry, laying the groundwork to standardize financial reporting and develop reference data that will identify and describe financial contracts and institutions. [read post]
29 Sep 2015, 7:18 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Jonathan Williams (Williams) (FINRA No. 20150452689) resulting in a bar from the securities industry alleging that Williams failed to provide FINRA staff with information and documents requested. [read post]
11 Jun 2023, 11:05 am
The Financial Industry Regulatory Authority Inc. [read post]
16 May 2013, 7:51 am
The $2.6 Million Question In Goldman Sachs Suitability ArbitrationFINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther...Read OnPublic Customer Wins Messy Private Placement ArbitrationIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claima... [read post]
15 Sep 2021, 10:00 pm
Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360. [read post]
5 Jun 2023, 6:08 pm
A legal dispute pitting Wells Fargo Advisors against one of its former in-house lawyers has raised a question about when brokerages and their employees should be compelled to arbitrate at the Financial Industry Regulatory Authority. [read post]
11 Jun 2023, 1:38 am
The Financial Industry Regulatory Authority Inc. last week penalized another broker-dealer, Coastal Equities Inc., over sales in 2018 of private placement managed by GPB Capital Holdings. [read post]
6 Oct 2011, 7:23 am
Merrill Lynch agreed to pay $1 million to settle charges by the Financial Industry Regulatory Authority (FINRA) that it failed to supervise Bruce Hammonds, a San Antonio-based representative, who was ‘selling away’ from the firm by operating a $1 million dollar Ponzi scheme for more than 10 months. [read post]
8 Mar 2016, 6:52 pm
The White Law Group filed the claim with the Financial Industry Regulatory Authority Inc., alleging common law fraud, negligence and breach of fiduciary, according to a statement released Monday. [read post]
9 Jun 2023, 11:52 am
A judge in Georgia has ruled that Wells Fargo and its counsel “manipulated” the Financial Industry Regulatory Authority’s arbitrator selection process and violated the FINRA Code [...] [read post]
25 May 2012, 7:48 am
A Financial Industry Regulatory Authority (FINRA) arbitrator ordered the firm to pay them back $24,450 for their shares of Apple REIT Nine, and to reimburse them for the $425 FINRA filing fee. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
3 Jun 2023, 4:22 pm
The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by FINRA Dispute Resolution Services (DRS). [read post]
4 Jun 2023, 11:33 am
Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority’s (“FINRA”) revised proposal to establish more difficult procedures for expungement of customer complaints from an Associated Person’s records maintained by the Central Registration Depository (“CRD”). [read post]
