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12 Mar 2024, 2:25 pm
The court provided as a guideline that the percentage should be determined in such a way that it is expected that, in total, the financers can receive a maximum of five times the amount invested. [read post]
21 Feb 2024, 7:45 am
The post TIAA-CREF to Pay $2.2 Million for Reg BI Failures appeared first on The White Law Group. [read post]
11 Feb 2024, 8:55 am
From June 2013 through October 2014 Benitez was associated with LPL Financial LLC. [read post]
31 Jan 2024, 12:50 pm
BI, FINRA is incorporating additional Problem Codes and making other amendments to enhance the effectiveness of this Rule. [read post]
2 Jan 2024, 11:26 am
Like other investments, options can be traded through brokerage accounts. [read post]
19 Nov 2023, 6:48 pm
Both are investments in safer food. [read post]
3 Nov 2023, 11:39 am
Clardy LLC. and the newsletter for lawyers, 👀 The Peek: 🚪A Doorway into Wellness. [read post]
1 Nov 2023, 7:30 am
Here are some highlights: Law Library of Congress Report Discusses Tax and Investment Incentives Join Us on 10/26 for a Foreign and Comparative Law Webinar titled "Nordic Noir: Genealogy as a Criminal Investigation Technique in Denmark and Sweden" Costa Rica Environmental Protections - Pic of the Week Foraging for Mushrooms: A Quick Background Congress.gov New, Tip, and Top – October of 2023 An Interview with Laura Schwarz, Foreign Law Intern Observing Hispanic… [read post]
27 Oct 2023, 6:00 am
Industry Developments SPOTLIGHT: Paze’s Digital Wallet Uses a Bank-Centered Fintech Approach to E-Commerce CheckoutDigital Transactions News – October 24, 2023 Though the official launch of the Paze online wallet from Early Warning Services LLC isn’t slated until 2024, Paze executives are already demonstrating the product. [read post]
7 Sep 2023, 10:25 am
Inc.NEXT Financial Group Inc.Western International Securities Inc.SCF Securities Inc.CUSO Financial Services L.P.Sorrento Pacific Financial LLC. [read post]
27 Aug 2023, 7:49 pm
From June 2019 through May 2022, Liddle purportedly misappropriated the money from clients of Prosper Wealth Management, LLC (“PWM”), an investment adviser which he controlled. [read post]
10 Aug 2023, 9:31 am
Regulation Best Interest (Reg BI) is an important step forward in protecting investors. [read post]
24 May 2023, 7:02 am
Regulation Best Interest and Form CRS Regulation Best Interest (REG BI), a regulation that calls for brokers to act in the best interest of their clients when making investment recommendations, was approved in 2019. [read post]
23 May 2023, 12:41 pm
FINRA Sanctions Axos Invest LLC for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the self- regulator has reportedly censured and fined Axos Invest LLC $75,000 for regulatory issues. [read post]
22 May 2023, 10:59 am
Reg BI and Form CRS Regulation Best Interest (REG BI), a regulation that calls for brokers to act in the best interest of their clients when making investment recommendations, was approved in 2019. [read post]
5 May 2023, 12:33 pm
Under Reg BI, brokers must disclose the nature of their relationship with their clients and provide important information about the investment products they are recommending. [read post]
30 Mar 2023, 6:52 am
The purpose of Reg BI is to raise the standard of conduct for broker-dealers and investment advisors who provide investment advice to retail customers. [read post]
23 Mar 2023, 7:26 am
Daniel Beech (Daniel Keith Beech CRD# 6169844) is a registered broker and investment advisor currently employed with Innovation Partners LLC (CRD# 146344) of Charlotte, NC. [read post]
7 Feb 2023, 6:19 pm
The program is funded jointly by states and the federal government.Mallinckrodt ARD LLC, previously Questcor Pharmaceuticals Inc., paid $260 million to resolve separate allegations relating to its drug H.P. [read post]
10 Jan 2023, 7:39 am
For a free consultation with an investment fraud attorney, please call the White Law Group at (888) 637-5510. [read post]
