finra Latest News

By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.

As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.

Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the industry’s first self-serviced, social media archiving solution, Codex Express.

In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.

NIRI is Dedicated to Fixing the National $1.5 Trillion Variable annuity Problem

Quest CE announced today that effective July 1, 2012 it will begin offering Compliance Email Archiving technology through a partnership with Simplicato Inc., the pioneer in providing Email Archiving and Hosting solutions.

ACI’s Consumer Privacy Forum to host government officials, state attorneys general, representatives from consumer protection agencies, insurance industry leaders, in-house experts and attorneys specializing in data privacy and information security.

Quest introduces the financial services industry’s first full service automated retail Firm Element Solution, allowing Broker/Dealers to manage all of their training and tracking needs online without the assistance of an outside training provider.

By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.

Closed end fund , the Willow Fund, sold by UBS is closing down in June. Investors were allegedly defrauded by the fund manager, who improperly invested in credit default swaps in Europe and lost 89% of the value of the fund.

MILWAUKEE – March 22, 2013 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the addition of a new firm element courses to its e-learning library.

Attorneys Vincent Imbesi, Jeanne Christensen and Brittany Weiner, of the law firm Imbesi Christensen, represented the victorious FINRA broker.

MILWAUKEE – March 18, 2013 - Quest CE, premier provider of insurance continuing education and FINRA firm element training, today formally announced the appointment of Linda Mieth-Krenke to the position of Chief Executive Officer (CEO).

As a leading provider of technology solutions to the financial services industry, Koger takes pride in staying current with the latest regulatory developments. One of the more recent developments in Koger products addresses FINRA Rule 5131(b).

As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.

The D3P requirement outlined in 17a-3 and 17a-4 poses difficulty for small broker-dealer firms. They need a provider that offers a consolidated solution to help them successfully pass FINRA audits and keep the cost of compliance under control.

In the Matter of the FINRA Arbitration between Thomas Campbell, Claimant, vs. Sigma Financial Corporation, Respondent (FINRA Arbitration 10-00378). Expungement request granted after hearing.

The law firm of Imbesi Christensen received notification of an award issued in favor of its client, a registered representative of FINRA, which overruled the Department of Labor's initial determination. See A.L.J Case No. 012-30087

Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at the National Society of Compliance Professionals Conference in Washington, D.C., October 22-24.

Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the industry’s first self-serviced, social media archiving solution, Codex Express.

Forbes.com profiles FINRA arbitration decision granting expungement on behalf of broker

In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.

NIRI is Dedicated to Fixing the National $1.5 Trillion Variable annuity Problem

Crowd funding expert David Drake has termed it “marvelous” that key figures including heads of FINRA, the SEC and Congressman Patrick McHenry (R-NC) are in support of the crowdfunding component of the JOBS Act.

Quest CE announced today that effective July 1, 2012 it will begin offering Compliance Email Archiving technology through a partnership with Simplicato Inc., the pioneer in providing Email Archiving and Hosting solutions.

Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at FINRA’s 2012 Annual Conference in Washington, D.C., May 21 - 23.

ACI’s Consumer Privacy Forum to host government officials, state attorneys general, representatives from consumer protection agencies, insurance industry leaders, in-house experts and attorneys specializing in data privacy and information security.

The White Law Group may be able to help some investors recover investment losses in the Behringer Harvard Short-Term Opportunity Fund through the FINRA dispute resolution process.

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Centaurus Financial, Inc. The claim seeks to recover losses of approximately $85,000.

Readysmith Advisers Limited has announced the release of a new version of its Readiness-as-a-Service offering designed to meet the unique needs of financial services organizations.

Quest introduces the financial services industry’s first full service automated retail Firm Element Solution, allowing Broker/Dealers to manage all of their training and tracking needs online without the assistance of an outside training provider.

The White Law Group has filed an arbitration claim against Morgan Stanley involving possible misappropriation of client funds.

Responses from the SEC to confirm receipt of naked short information and the Company’s offer to provide all shareholder testimonies and account holdings support its belief a naked short position exists. Can there be any excuse not to act?

8000 Inc. would like to bring the shareholders up to date with all matters relating to the current situation, decisions made and management’s assessment of the future of the Company.

Quest CE has authored three new courses for their 2011 Firm Element Course Catalog

The law firm of Kaufman Dolowich Voluck & Gonzo LLP (“KDVG”) has announced the opening of its seventh office, located in Boca Raton, Florida, effective May 2, 2011.

Statement to 8000 Inc (EIGH.pk) shareholders relating to the share exchange and cancellation of all issued company stock and verification of shareholders of record update.

Agreement allows industry to use LinkedIn to propel sales and marketing while ensuring compliance with FINRA, IIROC and FSA rules

FINRA Sets Revised Rule on Private Placements by FINRA Member Firms Corporate & Finance Alert (Thomas More Griffin) March 10, 2011

Applicable regulatory rules (SEC Rule 15c3-3 under the Securities Exchange Act of 1934 and FINRA Rule 4320) require broker-dealers to close out all short positions immediately. Details of which are addressed below.

The White Law Group has filed a FINRA Statement of Claim alleging fraud and attempting to recover Desert Capital and DBSI investment losses on behalf of two retired investors.

Quest CE announces their new Firm Element Training course titled Forex Currency Trading. The course is available in their 2011 course catalog.

Quest CE’s industry leading Outside Business Activity Tracking Solution is compliant with the new FINRA Rule 3270.

Paladin Registry conducts background checks on financial advisors and financial planners. A background check provides investors with full transparency about the financial professional they are considering hiring. You should know who you hire!

The Paladin Registry conducts background checks on financial advisors and financial planners. A background check provides investors with full transparency about the financial professional they are considering hiring. You should know who you hire!

As a professional in the securities industry or a registered investment advisor, you need to make sure you know about and understand the new changes coming to advertising and disclosure.

PaladinRegistry.com conducts background checks for financial advisors and financial planners. This is another way financial professionals can provide investors with full disclosure and transparency about who they are and what they do.

PaladinRegistry.com conducts background checks for financial advisors and financial planners. This is another way financial professionals can provide investors with full disclosure and transparency about who they are and what they do.

Do you really know who your financial advisor is? Do you know his/her backgrounds, education, business practices and ethics? Paladin Registry conducts background checks on financial advisors and planners so can provide full transparency to clients.

Paladin Registry conducts background checks on financial advisors and planners. This helps investors have a fully transparent understanding of the credentials, background, and business ethics of the professional they hire.

PaladinRegistry.com conducts due diligence and background checks on financial advisors and financial planners. Read more to learn about three financial professionals who recently went through the Financial Advisor Due Diligence (FADD) process.

PaladinRegistry.com conducts due diligence and background checks on financial advisors and financial planners. Read more to learn about three financial professionals who recently became members of the Registry.

PaladinRegistry.com conducts due diligence and background checks on financial advisors and financial planners. Read more to learn about three financial professionals who recently went through the Financial Advisor Due Diligence (FADD) process.

PaladinRegistry.com is a full service Registry of leading financial professionals in the country. We rate and review the quality, competence and ethics of financial advisors and planners for investors. Investors should always know who they hire!

Securities firms using Laserfiche as their document management solution face challenges properly protecting the data associated with this program. Broker-dealer firms, for example, must incorporate rules 17a-4 and the D3P into their backup strategy

This week, Unified Fund Services, a subsidiary of Huntington Bank, announced its sponsorship of a webinar for financial advisors and fund marketers on August 3 called "Using Social Media."

Quest CE announces the creation of the industry’s first automatic price quote generator for Firm Element Programs. This new online application is free and easy to use, offering instant and accurate results.

Quest CE unveils their new Content Builder. The tool will allow administrators to build a custom on demand catalog that specifically meets the needs of their company. The tool is free to use and available to everyone.