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3 Jun 2024, 12:50 pm
The post Gabriel Edelman, ex-Spartan Capital Broker, Barred by SEC appeared first on The White Law Group. [read post]
3 Jun 2024, 5:26 am
-brokered deal, while two far-right ministers — Finance Minister Bezalel Smotrich and National Security Minister Itamar Ben Gvir — threatened to resign and topple his governing coalition if he does. [read post]
3 Jun 2024, 4:31 am
Kefalas alleged that the building was sold “for approximately $64 million,” the proceeds of which Pappas allegedly diminished by improperly paying expenses including unauthorized broker commissions and personal and family tax planning fees. [read post]
2 Jun 2024, 9:01 pm
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. [read post]
31 May 2024, 2:08 pm
If they all say no (providing “declinations”), then the broker may seek coverage in the surplus and excess lines market. [read post]
31 May 2024, 11:49 am
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
31 May 2024, 11:27 am
Law § 3239, “no such life insurance company…and no officer, agent, solicitor or representative thereof and no such insurer doing in [New York] the business of accident and health insurance and no officer, agent, solicitor or representative thereof, and no licensed insurance broker and no employee or other representative of any such insurer, agent or broker, shall pay, allow or give, or offer to pay, allow or give, directly or indirectly, as an inducement to any… [read post]
31 May 2024, 8:23 am
Unfortunately, many US broker-dealers sold these annuities to investors, including US investors and foreign nationals. [read post]
31 May 2024, 8:22 am
Did Your Broker Sell You A Griffin Capital DST And You Sustained Serious Losses? [read post]
31 May 2024, 8:20 am
Did You Suffer Investment Losses While Working With Former Independent Financial Group Broker Armando Roman? [read post]
31 May 2024, 6:47 am
In 2023, Beijing helped broker an agreement between Saudi Arabia and Iran to reestablish diplomatic relations. [read post]
31 May 2024, 4:30 am
Even the insurance broker who sold the Policy insisted that the clause did not apply. [read post]
30 May 2024, 7:28 am
Thrivent Broker Suspended for Forgery Allegations In August 2023, a broker registered with Thrivent Investment Management Inc., based in Hattiesburg, Mississippi was fined $5,000 and suspended for six months by FINRA for placing false customer signatures on account documents while associated with Thrivent. [read post]
30 May 2024, 5:49 am
The department’s Privacy Office is similarly troubled, struggling to enforce privacy training and oversee the agency’s purchases of personal data from data brokers. [read post]
30 May 2024, 12:15 am
If enacted, AB 2981 would add a new subdivision (h) to Section 22100 to provide as follows: A lender that does not make or broker residential mortgage loans or consumer loans shall be deemed a licensee under this article when the lender makes five or fewer commercial loans annually and the principal amount of all loans made by the lender in the preceding and current calendar year have each exceeded three hundred fifty thousand dollars ($350,000). [read post]
29 May 2024, 10:30 pm
Regarding pre-trade information, trading is conducted mostly through bilateral communication between dealers, who might directly contact a broker to trade or use a trading platform to enter anonymously non-firm quotes. [read post]
29 May 2024, 9:01 pm
In an important step forward, the House voted to pass a bill to establish a comprehensive regulatory framework for digital assets and offering important protections for customers. [read post]
29 May 2024, 7:20 pm
This dominance has led to the downstream effects everyone hates, like higher ticket prices, difficult-to-obtain tickets, a symbiosis with ticket brokers, etc. [read post]
29 May 2024, 5:49 am
For example, the amendments reach broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
29 May 2024, 1:59 am
May 28, Chicago—NFA has ordered Sigma Broking Limited (Sigma Broking) to pay a $150,000 fine. [read post]
