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1 Sep 2023, 6:44 am
The post Former Cetera Broker Clarice Saw Charged With Fraud By The SEC appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP, on… [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP, on… [read post]
1 Sep 2023, 6:07 am
Inc. [read post]
29 Aug 2023, 12:32 pm
Hilltop Holdings, Inc. completed its acquisition of SWS Group, Inc. in 2015. [read post]
27 Aug 2023, 7:49 pm
The SEC alleged that Western International and the brokers recommended and sold L Bonds to retail customers, many of whom were on fixed incomes and had moderate risk tolerances, despite the issuer, GWG Holdings, Inc., stating the L bonds were “high risk, illiquid, and only suitable for customers with substantial financial resources. [read post]
25 Aug 2023, 11:47 am
Woodbury Financial Services, Inc. [read post]
18 Aug 2023, 10:59 am
Uphold HQ Inc. et al, the court addressed whether cryptocurrency was a “fund” under the EFTA, and found that the ordinary dictionary definition of “funds” means a means of exchange that can be used to pay for goods and services. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
16 Aug 2023, 10:52 am
[vii] The SEC claimed that Jarkesy, along with his advisory firm Patriot28, LLC, made false representations to their investors, including falsely advising that a prominent accounting firm and investment bank served as the funds’ auditor and broker, respectively, and misrepresenting the funds’ investment strategies and overvaluing the funds’ holdings. [read post]
15 Aug 2023, 1:32 am
If your broker has defrauded you, you may be able to file a claim with FINRA to seek resolution through arbitration. [read post]
14 Aug 2023, 11:36 am
He has not been registered with another broker-dealer since. [read post]
14 Aug 2023, 4:58 am
Bittrex, Inc. [read post]
14 Aug 2023, 2:11 am
Royal Alliance has had numerous regulatory actions, that can be found under the CRD/FINRA Broker Check report of Osaic Wealth Inc. [read post]
11 Aug 2023, 10:11 am
About Solutions Law Press, Inc. [read post]
10 Aug 2023, 1:56 pm
Previous employers include Cadaret, Grant & Co., Inc. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
9 Aug 2023, 11:25 am
This is critical to certifying that investors have truthful and valid information and that firms are held accountable for their actions. [read post]
9 Aug 2023, 10:26 am
Originally, through the court’s decision in In re Caremark Int’l Inc. [read post]
8 Aug 2023, 11:25 am
This can happen in various ways, such as when a broker makes trades in your account without your approval, or when a broker exceeds the trading authority that you have granted them. [read post]
