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16 Sep 2019, 12:20 pm
., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
9 Nov 2022, 11:31 am
Priority Income Fund Shareholders may not see Liquidity Event anytime soon The White Law Group continues to investigate potential securities fraud claims involving broker dealers who may have improperly recommended Priority Income Fund to investors. [read post]
15 Mar 2018, 5:00 am
-based broker-dealer and its investment manager have been charged with securities fraud in connection with manipulative trading in the securities of HD View 360 Inc., a U.S. [read post]
25 Apr 2014, 6:30 am
The fine is one of many that have recently been imposed on LPL and other “independent broker-dealers,” firms that provide products, marketing, and regulatory services to independent brokers who are not their full-time employees. [read post]
28 Jul 2010, 6:49 pm
In 2009, he filed a claim accusing the broker-dealer of breach of both contract and fiduciary duty. [read post]
24 Nov 2021, 11:18 am
In this case, Abraham alleged that it sold perishable agricultural commodities to defendants MBS Brothers, Inc., trading as Big Tree Market, and Young Chul Ahn. [read post]
14 Apr 2012, 5:53 pm
” Currently, broker-dealers have to abide by the “suitability" standard, which is considers a less strict standard of care. [read post]
24 Apr 2021, 11:16 am
Noyes & Company (a.k.a Sanctuary Securities, Inc.) is a broker-dealer headquartered in Indianapolis, Indiana. [read post]
1 Dec 2023, 8:06 am
Subsequently, FINRA issued a Letter of Acceptance, Waiver & Consent (AWC) barring Matalon from affiliation with any FINRA member broker-dealer in any capacity. [read post]
19 Jun 2023, 5:09 am
(NEO: INXD, INXATS: INX, OTCQB: INXDF) ("INX"), a US-regulated broker-dealer, ATS, and transfer agent, announced today that Republic ("Republic"), a global financial firm [...] [read post]
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]
1 Mar 2012, 9:32 am
In many cases, and notwithstanding the risk of REIT investments, broker-dealers marketed these investments as safe and secure. [read post]
1 Mar 2012, 9:32 am
In many cases, and notwithstanding the risk of REIT investments, broker-dealers marketed these investments as safe and secure. [read post]
16 May 2007, 4:35 am
During that related case, 15 broker-dealersâ€â [read post]
27 Nov 2023, 7:44 am
When the market declines, the inverse ETF increases by the same percentage, minus the commissions and fees for the broker. [read post]
1 Feb 2022, 8:44 am
The White Law Group continues to investigate potential claims against the broker dealers that sold high risk investments, like MSC Income Fund to investors. [read post]
26 Apr 2021, 9:05 pm
In response to this market volatility, some broker-dealers chose temporarily to restrict trading on meme stocks. [read post]
2 Dec 2022, 12:03 pm
On June 21, 2022, the plaintiff’s attorney sent the SEC a letter requesting records pertaining to communications the Commission had with representatives for exchanges, market makers, retail broker-dealers, industry organizations and/or similar entities about retail stock order handling and execution, price improvement, order-by-order competition and routing to auctions. [read post]
20 Oct 2011, 8:23 am
On Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
19 Mar 2020, 7:00 am
According to Market Watch shares of Cedar Realty Trust Inc. are down -73.90 YTD. [read post]
