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10 Oct 2022, 9:57 am
Most investors believe their broker and broker-dealer have their best interests in mind when making recommendations. [read post]
7 Oct 2022, 12:37 pm
” The strategy includes a broker selling call or put options to enhance returns in relatively stable or flat markets. [read post]
3 Oct 2022, 10:47 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings to retirees and other retail investors. [read post]
28 Sep 2022, 12:37 pm
Citigroup Global Markets Inc. [read post]
28 Sep 2022, 8:06 am
;Citigroup Global Markets Inc. [read post]
26 Sep 2022, 1:56 pm
His former employers are Citigroup Global Markets Inc. [read post]
19 Sep 2022, 8:37 am
American Healthcare REIT Inc. [read post]
14 Sep 2022, 11:59 am
The SEC found that TD, BNY Mellon, and Jefferies each violated Rule 15c2-12, as well as MSRB Rule G-27 and 1934 Act Section 15B(c)(1).The SEC determined that TD, BNY Mellon, and Jefferies, while serving as sole underwriter for certain limited offerings, sold securities to broker-dealers and certain investment advisers without a reasonable belief that the broker-dealers and investment advisers were purchasing the securities for investment. [read post]
8 Sep 2022, 9:01 pm
That statute covered intermediaries, such as the exchanges themselves and the broker-dealers. [read post]
2 Sep 2022, 6:30 am
FEC, Disclosure, Political spending, State law, Taxation SEC Bulletin on Conflicts of Interest for Broker-Dealers and Investment Advisers Posted by W. [read post]
19 Aug 2022, 8:54 am
In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request. [read post]
18 Aug 2022, 5:21 am
There have been numerous lawsuits filed against various broker dealers after the company’s apparent collapse. [read post]
27 Jul 2022, 5:07 am
The Secondary Sales Price could indicate losses for Mackenzie Realty Capital shareholders The White Law Group continues to investigate potential claims involving broker-dealers who may have improperly recommended Mackenzie Realty Capital to investors. [read post]
26 Jul 2022, 9:34 am
However, section 499c(a) directs that “no person shall at any time carry on the business of a commission merchant, dealer, or broker without a license valid and effective at such time. [read post]
26 Jul 2022, 7:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
18 Jul 2022, 3:03 am
In many cases, and notwithstanding the risk of REIT investments, broker-dealers marketed these investments as safe and secure. [read post]
14 Jul 2022, 8:00 am
Leading Broker-Dealer Pitched Regional Broker-Dealers To Sell These Risky Junk Bonds Securities lawyers at SSEK are investigating Emerson Equity wholesalers that pitched risky junk bonds. [read post]
6 Jul 2022, 10:12 am
Accordingly, a more effective alternative may be to pursue restitution or damages from the broker-dealers who sold investors the L Bonds. [read post]
6 Jul 2022, 8:44 am
Silver Law may initiate arbitration claims against the brokers, as well as begin proceedings against the broker-dealers with the Financial Industry Regulatory Authority (FINRA), the government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
5 Jul 2022, 1:32 pm
Silver Law is also requesting arbitrations to resolve disputes between its clients and the broker-dealers who sold the GWG investments. [read post]
