Search for: "Broker Dealer Market Inc"
Results 181 - 200
of 1,104
Sorted by Relevance
|
Sort by Date
23 Jan 2023, 9:01 pm
That said, the SEC notes that a broker-dealer’s best execution responsibilities would govern whether the broker-dealer could do so. [read post]
22 Jan 2021, 11:51 am
Tender Offer Price – $5.41 per share – Griffin-American Healthcare REIT III The White Law Group continues to investigate securities lawsuits involving the liability that broker dealers may have for improperly recommending non-traded REITs such as Griffin-American Healthcare REIT III Inc. to investors. [read post]
13 Nov 2009, 4:19 pm
Our securities fraud lawyers continue to represent clients with ARS claims against broker-dealers that misled them about the risks associated with these investments. [read post]
25 Apr 2022, 9:17 am
Brokers have an obligation to make investment recommendations that are consistent with their clients risk tolerance, net worth, investment objectives and experience in the market. [read post]
22 May 2015, 7:41 pm
Brokers have an obligation to make investment recommendations that are consistent with their clients risk tolerance, net worth, investment objectives and experience in the market. [read post]
22 May 2015, 7:25 pm
Brokers have an obligation to make investment recommendations that are consistent with their clients risk tolerance, net worth, investment objectives and experience in the market. [read post]
15 Jan 2021, 9:24 am
The White Law Group continues to investigate securities lawsuits involving the liability that broker dealers may have for improperly recommending non-traded REITs such as Steadfast Apartment REIT Inc. to investors. [read post]
13 Sep 2017, 6:21 am
Broker dealers are required to perform adequate due diligence on any investment they recommend. [read post]
24 Feb 2016, 2:18 pm
Johnson manipulated the market for the common stock of IceWEB, Inc. [read post]
2 Jul 2014, 7:01 am
Bradford in New York in 1989 and was at Citigroup Global Markets Inc. in 2000 when the alleged Ponzi scheme began. [read post]
21 Mar 2012, 3:40 pm
The Hartford Financial Services Group Inc.'s recently announced its intent to sell independent broker-dealer Woodbury Financial Services Inc., which marks its move to exit the independent broker-dealer market. [read post]
8 Aug 2017, 6:03 am
Alberta securities laws set out comprehensive and detailed requirements for proxy solicitation and the conduct of brokers, and did not proscribe soliciting dealer arrangements. [read post]
8 Aug 2017, 6:03 am
Alberta securities laws set out comprehensive and detailed requirements for proxy solicitation and the conduct of brokers, and did not proscribe soliciting dealer arrangements. [read post]
1 Nov 2017, 11:28 am
Morgan Stanley, through its predecessor firm Citigroup Global Markets, Inc. [read post]
29 Jul 2015, 7:28 am
From 2005 through August 2009, Vining was associated with Ameriprise Advisor Services, Inc. [read post]
18 May 2022, 3:59 am
On May 17, 2022, the Nasdaq Stock Market announced that it would delist the common stock of GWG Holdings, Inc. [read post]
9 Dec 2010, 6:38 pm
Division lawyers have said that Murray’s decision was not consistent with previous SEC precedent, lowers the standards that supervisors at dealers, brokers, and investment advisers must meet, and did not protect the investing public by making Urban accountable to sanctions. [read post]
24 Jan 2012, 10:49 am
” In addition to these issues, several broker-dealers that had sold Behringer Harvard products “…pulled the plug on their relationship…” Investmentnews.com mentioned American Portfolios Financial Services Inc. and Securities America Inc. as two of the firms. [read post]
26 Aug 2021, 1:14 pm
Hartman vREIT XXI: Secondary Price Suggests Losses for Investors The White Law Group continues to investigate potential securities claims involving broker dealers who may have unsuitably recommended Hartman vREIT XXI Inc. [read post]
28 Oct 2013, 8:08 am
All brokers and broker-dealers have an obligation to ensure that their investment or investment strategy recommendation is suitable for the customer. [read post]
