Search for: "Financial Industry Regulatory Authority"
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8 Apr 2022, 11:59 am
FINRA Sanctions National Securities Corp for Misconduct involving Pre-IPO Sales According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined National Securities Corp (CRD No. 7569) $300,000 plus disgorgement of $363,447.67 plus interest for rules violations involving the sales of “pre-IPO” private placement offerings. [read post]
8 Apr 2022, 7:52 am
FINRA Accuses Broker-Dealers of Negligence and Unsuitability The Financial Industry Regulatory Authority (FINRA) recently fined three brokerage firms for negligently selling GPB Capital Holdings private placements to retail customers. [read post]
7 Apr 2022, 12:30 pm
FINRA Reportedly Bars Cetera Broker Marianne Smith from the Securities Industry According to the Financial Industry Regulatory Authority (FINRA), Broker Marianne Oshee Smith (CRD#: 1587765) was reportedly barred from the securities industry after her employer, Cetera Advisors, reported Smith had been discharged in connection with its investigation of her deposit of customer checks into accounts maintained by a third party. [read post]
6 Apr 2022, 7:13 am
Update The U.S. government has issued new sanctions and broadened existing authorities, relating to: Trade sanctions: Prohibitions on the importation of crude oil, petroleum, coal, liquefied natural gas and related products, seafood, alcoholic beverages, and non-industrial diamonds are in place; Financial sanctions: Restrictions on investments in Russia have been expanded to include any sector of the Russian economy. [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [read post]
5 Apr 2022, 9:15 am
Regulatory mandate to UK regulators A regulatory mandate in relation to stablecoins will need to be developed for the FCA, the Bank of England (BoE) and the Payment Systems Regulator (PSR), as is the case for traditional payment services and e-money where there is a need to consider co-responsibility for regulation between the three authorities. [read post]
4 Apr 2022, 7:43 am
Broker Francis Velten has Investor Disputes for Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA), Francis Velten (CRD#: 2291911) was named a respondent in a FINRA complaint alleging that he failed to respond in any way to FINRA’s requests for information in connection with its investigation into an allegation that he churned and flipped his elderly customers’ accounts at his member firm, allegedly… [read post]
4 Apr 2022, 3:45 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
2 Apr 2022, 12:37 pm
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Geneos Wealth Management, Inc. [read post]
31 Mar 2022, 9:05 pm
FLASHBACK FRIDAY In an essay for The Regulatory Review, Adam M. [read post]
31 Mar 2022, 12:17 pm
This analysis bears on the presence of discrimination in the current life insurance industry as well as related issues like the financial status of minority households. [read post]
31 Mar 2022, 10:51 am
For more information about these or other health or other legal, management or public policy developments, please contact the author Cynthia Marcotte Stamer via e-mail or via telephone at (214) 452 -8297. [read post]
31 Mar 2022, 8:51 am
CCOs also represent the interests of their firm before regulatory authorities and regulators. [read post]
31 Mar 2022, 8:46 am
FINRA Reportedly Suspends Aegis Broker Scott Hananel for Excessive, Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended Scott Neil Hananel (CRD#: 3080827) for 15 months and fined him $7,500 in connections with allegations that he engaged in excessive and unsuitable trading in Aegis accounts of six of his customers between July 2014 and December 2018. [read post]
30 Mar 2022, 11:50 am
Investors need information about climate-related risks—and it is squarely within the Commission’s authority to require such disclosure in the public interest and for the protection of investors—because climate-related risks have present financial consequences that investors in public companies consider in making investment and voting decisions. [read post]
29 Mar 2022, 9:05 pm
In this context, reforming pre- and post-judgment interest rates for consumer debt collection actions could make a real difference in the consumer financial services regulatory landscape. [read post]
29 Mar 2022, 5:04 pm
FDA Emergency Use Approval of Second COVID-19 Booster On March 29, 2022, the FDA amended its e emergency use authorization (“EAU”) for COVID-19 vaccination to add authorization for second COVID-19 booster shots under the following circumstances: A second booster dose of the Pfizer-BioNTech COVID-19 Vaccine or Moderna COVID-19 Vaccine may be administered to individuals 50 years of age and older at least 4 months after receipt of a first booster dose of any… [read post]
29 Mar 2022, 1:00 pm
(a trend among life sciences lawsuits that is consistent with general securities litigation trends across all industries). [read post]
28 Mar 2022, 10:21 am
SEC Chair Gary Gensler will open the event followed by a panel discussion with Richard Best, Acting Director of the SEC’s Division of Examinations; Nancy LeaMond, Executive Vice President and Chief Advocacy and Engagement Officer at AARP; and Christine Kieffer, Senior Director of the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation. [read post]
28 Mar 2022, 7:20 am
Beechwood Bermuda Investor Was Unsuitably Recommended Non-Traded REIT Healthcare Trust Another Chinese investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services over losses suffered in Beechwood Bermuda (a Northstar Financial Services (Bermuda)-related product). [read post]
