nvestigations and actions. His broad background with federal and state secutities laws and the rules, regulations and customary practices of the SEC, Financial Industry Regulatory Authority, Commodity Futures Trading Commission and various other regulatory bodies enables him to provide strategic guidance to a diverse clientele.

) have significant price volatility, and (iv) have little or no institutional investor support. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have historically expressed concerns regarding the “penny” stock industry in general and both have issued alerts to warn investors about pote

leblower who caught them: ME Per the PR announcing the Parallax COVID disclosure complaint: "The Commission appreciates the assistance provided by the Financial Industry Regulatory Authority" Kevin Goodman: SEC OCIE BD's was made Chief Overlord of FINRA: Goodman new title: OCIE FINRA and Securities Industry Oversight (FSIO) group Repor

Any arbitration under this Agreement shall be governed by the Federal Arbitration Act and shall be conducted before an arbitration panel convened by the Financial Industry Regulatory Authority (FINRA) or any other national securities exchange's arbitration forum, upon which UBS Financial Services Inc. is legally required to arbitrate the

Any arbitration under this Agreement shall be governed by the Federal Arbitration Act and shall be conducted before an arbitration panel convened by the Financial Industry Regulatory Authority (FINRA) or any other national securities exchange's arbitration forum, upon which UBS Financial Services Inc. or UBS Financial Services Incorporate

enter for Justice Cisco Systems Inc. Dealogic LLC Deutsche Bank AG Eli Lilly & Co. FCA US LLC Federalist Society Fiat Chrysler Automobiles NV Financial Industry Regulatory Authority Inc. FirstEnergy Corp. Fred Alger & Co. Inc. Google Inc. Humana Inc. Janus Henderson Group PLC Liberty Mutual Insurance Group Mazars

. Caterpillar Inc. Cisco Systems Inc. Citigroup Inc. Conn's Inc. Electronic Privacy Information Center Ernst & Young Federal Bar Association Financial Industry Regulatory Authority Inc. General Cable Corp. Goldman Sachs Group Inc. Google Inc. HSBC Holdings PLC Hearst Corp. Henry Schein Inc. Indiana Pacers JPMorg