Posts tagged with: "financial+issue"
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26 Feb 2013, 11:00 am
However, if you have a bank that also has a BD component, one could see issues relating to that operation as well. [read post]
23 Nov 2015, 2:29 am
FINRA lowers the boom.Case In PointFor 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 issue, Mark J. [read post]
10 Mar 2014, 6:04 am
For 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 issue, Mark E. [read post]
6 Aug 2013, 10:20 am
For 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 issue, Ni Advisors, Inc. and Sui-Hock Goy submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Obtains Court Order for Partial Asset Freeze and Other Temporary Relief in Fraud Action Against Microcap Public Company and CEO (SEC Release) Kraken to Discontinue Unregistered Offer… [read post]
26 Oct 2016, 10:11 am
Cases In PointFor 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 issue, Donald K. [read post]
24 Apr 2023, 3:33 am
Consumer Privacy User Profile Litigation Financial Professionals Coalition, Ltd./ JOIN TODAY -- FREE MEMBERSHIP CFPB Issues Guidance to Protect Homeowners from Illegal Collection Tactics on Zombie Mortgages / It ... [read post]
29 May 2013, 4:21 am
Notwithstanding, it is critical to timely update your Form U4 to disclose such financial events.For 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 issue, Dennis Joseph Snyder submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Feb 2016, 8:52 am
The article ends with an exaltation of Murphy's Law and a bit of rambling and musing by our publisher Bill Singer.Case In PointFor 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 issue, Jeffrey Stinnett submitted a Letter of Acceptance, Waiver and Consent (... [read post]
4 Jun 2022, 5:57 am
Harris, New York State Superintendent of Financial Services / June 8, 2022)Reality TV stars convicted of fraud and tax evasion (DOJ ... [read post]
29 Nov 2016, 3:43 am
From 22nd December, the following journals will no longer be available via Lexis Library:European Competition JournalJournal of Corporate Law StudiesJournal of Media LawJournal of Private International Law Judicial ReviewLaw and Financial Markets ReviewLegal EthicsThis is because ownership of these journals has recently transferred from Bloomsbury Publishing (with whom Lexis had an agreement to host the journals) to Taylor & Francis (with whom they don't have such an… [read post]
29 May 2015, 6:05 am
All in all, an excellent bit of regulation with some helpful warnings to both the industry and unwary investors.Case In PointFor 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 issue, Broker Dealer Financial Services Corp., submi... [read post]
19 Mar 2013, 7:49 am
For 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 issue, Donahue Edwin Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Apr 2018, 6:10 am
For 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 issue, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
18 Feb 2019, 3:09 am
Not stated in the AWC was whether FINRA determined that the accounts at issue were profitable or sustained losses. [read post]
23 Nov 2016, 12:32 am
Case In PointFor 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 issue, James L. [read post]
31 Jan 2014, 2:10 am
For 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 issue, Scott A. [read post]
9 Aug 2019, 11:47 am
As set forth in the "Summary" portion of "Retrospective Rule Review / FINRA Requests Comment on Rules and Issues Relating to Senior Investors / Comment Period Expires: October 8, 2019"(FINRA Regulatory Notice 19-27) http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-19-27.pdf :FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior … [read post]
25 Jan 2019, 11:30 am
(HLS Forum on Corporate Governance and Financial Regulation.) [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) New York Securities Fraud Ruling Threatens US White-Collar Cases (Bloomberg Law by Ben Penn) DOJ RELEASES Former Beulah Bank President Sentenced to Two Counts of Bank Fraud (DOJ Release) Former Bond Trader And… [read post]
