Search for: "Financial Industry Regulatory Authority"
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25 Mar 2022, 10:59 am
CISA, however, is authorized to share this data only if it was [read post]
24 Mar 2022, 2:30 pm
Here is the authors’ article. [read post]
23 Mar 2022, 9:44 am
Marc Reda Allegedly Recommended Unsuitable Trading Strategy to Clients According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), Broker Marc A. [read post]
22 Mar 2022, 12:31 pm
Dempsey Lord Smith Censured & Fined for Unsuitable Sales of GPB Capital Offerings FINRA Reportedly Sanctions Dempsey Lord Smith for GPB Capital Investments According to The Financial Industry Regulatory Authority (FINRA) on March 21, the regulator has reportedly censured and fined Dempsey Lord Smith LLC $70,000 after the firm allegedly negligently failed to inform four clients about important facts pertaining to GPB Capital offerings. [read post]
22 Mar 2022, 11:19 am
This wave of new rules, Dunshee suggests, indicate that “the floodgates are opening for Chair Gary Gensler’s regulatory agenda. [read post]
22 Mar 2022, 11:04 am
FINRA Reportedly Censures and Fines BD4RIA Inc. for withholding Material information involving GPB Holdings II LP According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has reportedly censured and fined BD4RIA Inc. $45,000 after the firm allegedly negligently failed to inform seven clients important facts pertaining to a GPB Capital offering. [read post]
21 Mar 2022, 11:09 am
FINRA Censures and Fines Geneos Wealth Management for Rules Violations involving LJM Funds & GPB Funds According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has censured and fined Geneos Wealth Management $150,000 after the firm allegedly failed to supervise recommendations of the high-risk LJM Preservation and Growth Fund (LJM). [read post]
21 Mar 2022, 9:20 am
Ex-IFS Securities Broker Recommended Promissory Note to Elderly Investors The Financial Industry Regulatory Authority (FINRA) has barred ex-IFS Securities registered representative Steven Douglas Schisler beginning January 31, 2022. [read post]
21 Mar 2022, 6:35 am
According to the Financial Industry Regulatory Authority, Blumberg has been the broker of record for at least four (4) customer disputes. [read post]
20 Mar 2022, 12:56 pm
The text has only been lightly edited to respect the author’s voice. [read post]
18 Mar 2022, 9:06 pm
Currently, U.S. fashion brands face little regulatory intervention. [read post]
18 Mar 2022, 11:26 am
Cetera Broker-Dealer Unsuitably Recommended Non-Traded REITs to Retired Couple Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm at investorlawyers.com) and Menzer & Hill, PA, are pleased to announce that a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded our clients a $2.6M award against First Allied Securities. [read post]
18 Mar 2022, 8:56 am
SCA is a new set of rules that the Financial Conduct Authority adopted in 2019 to help protect consumers from fraud when they are shopping online. [read post]
18 Mar 2022, 7:44 am
Authorities have locked down the northeastern industrial hub of Changchun since March 11, forbidding 9 million residents from leaving their neighborhoods. [read post]
18 Mar 2022, 5:10 am
Contact information for the covered entity, or, where applicable, the covered entity’s authorized service provider. [read post]
16 Mar 2022, 1:24 pm
One industry that recently was the focus of both regulatory action and securities litigation is the poultry production industry. [read post]
16 Mar 2022, 11:55 am
The bill would provide the FTC with rulemaking authority, and the FTC would be empowered to enforce violations through its Section 5 authority. [read post]
14 Mar 2022, 7:23 am
FINRA Censures and Fines Crown Capital $75,000 for Compensation Violations According to the Financial Industry Regulatory Authority (FINRA) on March 11, the regulator has fined Crown Capital Securities $75,000 after allegations that the firm paid transaction-based compensation to unregistered entities. [read post]
13 Mar 2022, 9:06 pm
Supreme Court stayed implementation of the Biden Administration’s use of statutory authority under federal occupational health and safety law to curb the COVID-19 pandemic by requiring that approximately 80 million workers obtain suitable vaccination or participate in periodic testing. [read post]
12 Mar 2022, 7:27 am
Recently, the Financial Industry Regulatory Authority (FINRA) announced a settled enforcement action against Alan Scot Feigenbaum (CRD #3132230, Boca Raton, Florida). [read post]
