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8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
8 May 2024, 5:13 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
7 May 2024, 12:30 pm
Court of Appeals for the Second Circuit affirmed the decision on the ground that the two distributors were in the baking industry, not the transportation industry, and therefore did not qualify for the arbitration exemption. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
4 May 2024, 8:31 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
1 May 2024, 8:18 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
30 Apr 2024, 2:51 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
30 Apr 2024, 9:40 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
29 Apr 2024, 10:00 pm
Consumer Regulatory Law Access this practice note for a comprehensive review of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
19 Apr 2024, 2:04 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 1:43 pm
Michael Capolongo Network 1 Financial Securities Inc. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
18 Apr 2024, 6:26 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Apr 2024, 9:03 pm
Douglas award,[9] made this point in congressional testimony that recommended, among other things, greater involvement of the Commission in interpreting regulatory policy.[10] Katz contended that having the Commission “micromanage” or displace the staff in performing their “daily responsibilities” would be “a disastrous outcome,” but “the Commission is the final authority on questions of regulatory policy, both in the… [read post]
3 Apr 2024, 9:01 pm
There are some that question our authority, hoping for a different regulatory regime altogether for their industry. [read post]
28 Mar 2024, 10:36 am
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former SagePoint Financial advisor Juan Carlos Sosa (CRD#: 4059846) from associating with any FINRA member at any time. [read post]
26 Mar 2024, 2:48 pm
By late March 2023, the Financial Industry Regulatory Authority (FINRA) requested BP provide a deal chronology, including the names of those who were “in the know” before the acquisition. [read post]
26 Mar 2024, 8:11 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
25 Mar 2024, 6:38 am
Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers and health care… [read post]
