Search for: "Financial Industry Regulatory Authority"
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25 Apr 2012, 1:58 pm
A plan, introduced by the House Financial Services Committee, would shift oversight from federal authorities to groups backed by the financial industry, most likely the Financial Industry Regulatory Authority. [read post]
9 May 2016, 10:30 am
(FINRA Jobs, via SimplyHired.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
19 Mar 2021, 9:13 am
The Financial Industry Regulatory Authority Inc. [read post]
24 Mar 2013, 6:04 am
Three new bodies will be formed under the Act: the Financial Policy Committee ("FPC"), the Prudential Regulatory Authority ("PRA") and the Financial Conduct Authority ("FCA"). [read post]
31 Jul 2007, 7:04 am
The Financial Industry Regulatory Authority (FINRA), was created from a combination of NYSE Regulation Inc. and NASD (National Association of Securities Dealers) regulatory arms. [read post]
24 May 2018, 1:52 pm
Former Beverly Hills, California-based Stockcross Financial Services broker Herbert Voss was permanently barred from the financial services industry by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Nov 2018, 5:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Kujawski concern allegations of unsuitable investments and material misrepresentations concerning investments being recommended. [read post]
19 May 2015, 11:00 am
(LinkedIn Jobs.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report. [read post]
23 Feb 2015, 3:09 pm
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
9 May 2013, 8:56 am
On April 1, 2013, the U.K. embarked on the twin peaks model of financial regulation, with the Financial Conduct Authority regulating the securities industry and professionals and the Prudential Regulation Authority regulating the banking industry and financial institutions. [read post]
16 Jul 2009, 1:30 pm
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the U.S. [read post]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. [read post]
17 Oct 2011, 7:13 am
The financial services industry is likely to face more intrusive and judgment-based regulation once the new structure is adopted. [read post]
14 Jun 2010, 1:09 pm
Peter Marx has been appointed as an Arbitrator for the Financial Industry Regulatory Authority (FINRA). [read post]
24 May 2019, 9:32 am
On May 17, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a permanent bar against former Pennsylvania LPL Financial representative Philip John Nalesnik. [read post]
14 Apr 2021, 2:14 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Dellaporta, Jr. from the securities industry. [read post]
5 Dec 2016, 6:26 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Guy Deemer (Deemer) currently registered with IFS Securities, alleging excessive trading or churning and unauthorized trading among other claims. [read post]
23 Sep 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Cagle’s customer complaints allege that Cagle recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
