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3 Dec 2021, 9:49 am
Legal and Regulatory Developments SPOTLIGHT: 6 Ways the EU’s Digital Markets Act Will Change Big TechPYMNTS – November 29, 2021 The European Union’s Digital Markets Act is coming, and Big Tech will never be the same. [read post]
3 Dec 2021, 9:49 am
Legal and Regulatory Developments SPOTLIGHT: 6 Ways the EU’s Digital Markets Act Will Change Big TechPYMNTS – November 29, 2021 The European Union’s Digital Markets Act is coming, and Big Tech will never be the same. [read post]
3 Dec 2021, 7:27 am
Kirk of Kang Haggerty co-authored “Self-Funded Employer Health Plans: Benefits, Pitfalls and Strategies. [read post]
3 Dec 2021, 3:00 am
” Prosecutors Demanded Records of Sidney Powell’s Fundraising Groups as Part of Criminal Probe MSN – Isaac Stanley-Becker, Emma Brown, and Rosalind Helderman (Washington Post) | Published: 11/30/2021 Federal prosecutors demanded the financial records of multiple fundraising organizations launched by attorney Sidney Powell after the 2020 election as part of a criminal investigation. [read post]
2 Dec 2021, 7:03 am
Advisor Jesus Rodriguez of El Paso Barred after Allegations of Misappropriating Funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Jesus Rodriguez (CRD #4888685) after his member firm Morgan Stanley allegedly allowed him to resign on September 3. [read post]
1 Dec 2021, 11:53 am
Following State Council reforms in 2018, regulatory supervision was handed over to SAMR. [read post]
1 Dec 2021, 9:46 am
The Appellate Court of Illinois, First District, recently affirmed an $11 million arbitration award entered by a Financial Industry Regulatory Authority panel in favor of a financial advisor and against his former employer. [read post]
1 Dec 2021, 9:33 am
Their publicly-available Financial Industry Regulatory Authority (FINRA) BrokerCheck report lists 37 disclosures. [read post]
30 Nov 2021, 2:05 pm
Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts. [read post]
30 Nov 2021, 8:10 am
He was suspended by the Financial Industry Regulatory Authority (FINRA) beginning October 25, 2021, after he failed to respond to the self-regulatory organization’s request for more information. [read post]
29 Nov 2021, 4:00 pm
The Martin Act establishes the regulatory framework businesses must follow when trading securities and commodities within the State of New York. [read post]
29 Nov 2021, 1:05 pm
.: The Senate Homeland Security and Governmental Affairs will hold a hearing to discuss FedRAMP reform, focusing on recommendations to reduce burden, enhance security and address inefficiencies in the government cloud authorization process. [read post]
29 Nov 2021, 12:01 pm
FINRA Censures & Fines McNally Financial for Supervisory Failures with Complex Options Trading Strategies According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined McNally Financial Services Corporation (CRD#: 121196/SEC#: 8-65388) in connection with the sale of nontraditional exchange traded products. [read post]
27 Nov 2021, 7:18 am
.%20CRD%2020130%20Mario%20Divita%20CRD%201504199%20AWC%20sl.pdfFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any i... [read post]
26 Nov 2021, 1:13 pm
GPB Private Placements Were Sold Through Brokerage Firm’s AdvisorDirect® Service An investor recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against broker-dealer TD Ameritrade over losses sustained in GPB investments. [read post]
26 Nov 2021, 7:48 am
However, Member State competent authorities will still have discretion with regard to sovereign debt. [read post]
23 Nov 2021, 11:02 am
” FINRA, FBI and SEC All Launch Investigations Into GPB Capital Since information about GPB Capital’s alleged Ponzi scheme has come to light, the SEC, Federal Bureau of Investigation (FBI), and Financial Industry Regulatory Authority (FINRA) have all launched investigations into GPB Capital. [read post]
22 Nov 2021, 3:49 pm
MR5 governs all private sector ESOs accessible in Indonesia, such as social media services, content-sharing platforms, digital marketplaces, search engines, financial and data processing services, communications services providing messaging, cloud service providers, video calling, and online games. [read post]
22 Nov 2021, 1:47 pm
Khan attributes freedom of expression issues to overbroad government regulatory authority and financial control over media and lack of journalist access to information, among other sources. [read post]
22 Nov 2021, 1:47 pm
.: The Atlantic Council will host investigative journalist and author Casey Michel to discuss his new book “American Kleptocracy: How the US created the world’s greatest money laundering scheme in history. [read post]
