Tags » Financial Industry Regulatory Authority

Exam priorities for financial services firms in 2018

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recently released their annual examination priorities for 2018.  Although the regulators independently develop their areas of focus, there are five overlapping priorities that securities firms may want to address in the near term. 1,239 more words

Financial Services

529 Plans – Where we are today

The Financial Industry Regulatory Authority (“FINRA”) and the Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) have highlighted concerns around the sale of 529 College Savings Plans (“529 Plans”).1 The concerns they have expressed revolve primarily around 529 Plans share class recommendations and the conflicts of interest that may exist with such recommendations. 787 more words

Financial Services

JPMorgan Gave Client Data To Convicted Felons

FINRA Reports JPMorgan Chase Gave Convicted Felons Access To Client Data

The Financial Industry Regulatory Authority or FINRA is claiming JPMorgan Chase hired ex-cons into jobs that could access clients’ bank-account information. 285 more words


Richard I. Isacoff, JD

Title: Financial Adviser, Financial Planner
Company: MW Financial Group, Ltd.
Location:  Orange, CT United States 93 more words


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Here’s How (from FINRA’s investor newsletter)

Consumer Alerts

Why regulators in Boca Raton banned this broker

A national regulatory action carried out by officials in Boca Raton has barred a broker in the wake of allegations involving unauthorized trading and unsuitable investments, including precious metals. 212 more words