Search for: "Financial Industry Regulatory Authority"
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4 Mar 2022, 12:34 pm
Ex-NY Worden Capital Broker Barred After Allegedly Charging $1.6M in Commissions The Financial Industry Regulatory Authority (FINRA) has barred ex-Worden Capital Management and former SW Financial registered representative, William Nicholas Athas. [read post]
4 Mar 2022, 12:11 pm
Our broad, interdisciplinary Education Industry Group recognizes that the legislative and regulatory environment presents challenges that require focused, client-specific solutions. [read post]
4 Mar 2022, 9:57 am
In any nascent industry, the question is always build vs. buy. [read post]
4 Mar 2022, 5:01 am
Renewed Fears of Regulatory Crackdowns Drive New Tech Rout China’s technology stocks fell to their lowest-ever close on Feb. 22 as investors fear another round of regulatory crackdowns from Beijing. [read post]
4 Mar 2022, 3:00 am
More than 50 different business groups plan trips, with industry fly-ins beginning March 2, according to Ed Mortimer, a U.S. [read post]
3 Mar 2022, 9:32 pm
The suit is the latest in a series of Justice Department suits that seek to prevent continued consolidation of the health industry giants following decades of industry consolidation. [read post]
3 Mar 2022, 8:56 am
Given the anticipated increased regulatory scrutiny over Private Equity, it is prudent for financial lines insurers to have a handle on the existing potential exposures resulting from partnership separations. [read post]
2 Mar 2022, 12:35 pm
California Retiree Was Unsuitably Recommended Illiquid, Risky Investments An elderly Los Angeles investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against FSC Securities Corporation over investment losses suffered. [read post]
1 Mar 2022, 5:22 pm
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]
1 Mar 2022, 3:44 pm
The Financial Industry Regulatory Authority hired an “independent” law firm to conduct a review of its arbitrator selection procedures after a Judge rebukes FIRNA in an order vacating a Wells Fargo award in a controversial case, according to FINRA. [read post]
1 Mar 2022, 3:16 pm
According to Advisor Hub, the Financial Industry Regulatory Authority has censured and imposed a $950,000 fine on Merrill Lynch Wealth Management for allegations that they engaged in ignoring flaws in its fraud detection systems allowed for two of their brokers to steal $6 million from clients. [read post]
1 Mar 2022, 9:45 am
FINRA Suspends Andrew Elsoffer Alleging Unauthorized Transactions, & other Rules Violations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended broker Andrew Elsoffer (CRD #2580009) from the securities industry for 2 years following an investigation. [read post]
1 Mar 2022, 9:33 am
FINRA Bars Beverly Hills Financial Advisor Following Unsuitability Allegations Ex-Oppenheimer and Hilltop Securities broker Dennis Phillip Ayre is barred by the Financial Industry Regulatory Authority (FINRA) beginning January 28, 2022. [read post]
1 Mar 2022, 3:57 am
This announcement has been authorized by the Nuix Board. [read post]
28 Feb 2022, 5:18 am
The Financial Industry Regulatory Authority (FINRA) last October launched a thorough examination of the activities of brokerage firms in relation to special purpose acquisition companies (SPACs) because of the risks of the investments and the potential for financial losses for retail investors. [read post]
28 Feb 2022, 3:00 am
Former MSC-BD Broker Robert Fehrman Made Unsuitable GPB Private Placement Recommendations A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a widow $221K in compensatory damages, legal fees, and costs against brokerage firm MSC-BD, LLC over losses she sustained in GPB private placements. [read post]
26 Feb 2022, 8:32 am
FINRA (the Financial Industry Regulatory Authority) has provided guidance to broker/dealers regarding the requirements of these rules and to remind broker-dealers of their responsibility to have procedures reasonably designed to achieve compliance with these rules. [read post]
24 Feb 2022, 2:29 pm
Customer Complaints Allege James Dunn, Ameriprise Broker, made Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), financial advisor James William Dunn, Jr. [read post]
22 Feb 2022, 12:09 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Feb 2022, 9:32 am
The Harvest Group purportedly invested more than 340 client accounts in leveraged ETFs for long periods of time, despite the fact that the Financial Industry Regulatory Authority has warned that leveraged ETFs are meant only for short-term trades. [read post]
