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Various updates.
Forte and Lawrence Exploited Elderly Client to Generate More Than $9 Million in Commissions in Less Than One Year
WASHINGTON—FINRA today announced it has barred Ami Forte and Charles Lawrence of Florida for their respective roles in churning accounts belonging to a 79-year-old customer who suffered from severe cognitive impairment.
Forte first met the customer (identified as “RS” in the
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
NASD 2002 Renewals Program
Effective Date: May 1, 1995
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In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock Exchange) formed
WASHINGTON — FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA's Complaint Center and FINRA's Whistleblower program – since its creation 10 years ago
Jim Reese is Senior Vice President of Data and Analytics for Member Supervision at FINRA. Mr. Reese leads a team of data analysts, risk specialists and data scientists responsible for developing and executing innovative advanced analytics, risk and predictive models, graph and other visualizations to enable, inform and drive the efficiency and effectiveness of Member Supervision and its
Public GovernorChief Information Officer, Humana, Inc.Governor Since 2021Committees: Finance, Operations & Technology Committee, Regulatory Oversight Committee Professional ExperienceHumana, Inc. (2017 – present)Chief Technology and Risk Officer (2019 – 2021)Chief Risk Officer (2017 – 2019)Capital One Financial Corporation (2000 – 2017)Senior Vice President, Chief Risk Officer for U.S.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-