Search for: "Conflict of Interest Broker's Commission to Purchaser's Attorney"
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1 Mar 2024, 3:00 am
During a public hearing, those speaking against Simpson’s reform bill included Alabama Ethics Commission Executive Director Tom Albritton, and commission member and former state Supreme Court Justice Lyn Stuart. [read post]
6 Feb 2024, 6:13 am
Unfortunately, these types of alternative investment products continue to popular among brokers due to their high commissions. [read post]
24 Jan 2024, 1:47 pm
Cadaret, Grant & Company – Sanctioned for Conflicts of Interest June 28, 2017 – The Securities and Exchange Commission (SEC) settled administrative and cease-and-desist proceedings against Cadaret, Grant & Co., Inc. [read post]
27 Dec 2023, 6:09 pm
If you have concerns regarding investments you purchased through Independent Financial Group and would like to speak with a securities attorney, please call The White Law Group at 888-637-5510. [read post]
27 Dec 2023, 1:16 pm
In July 2023, the Securities and Exchange Commission (“SEC”) proposed rules “that would require broker-dealers and investment advisers (“Firm”) to take certain measures to address conflicts of interest associated with their use of predicative data analytics and similar technologies to interact with investors to prevent firms form placing their interest ahead of investors’ interests. [read post]
18 Dec 2023, 2:48 pm
Similarly, CTAs would also have to make disclosures, including: the identities and descriptions of certain persons such as principals, futures commission merchants, any foreign exchange dealers, and introducing brokers; risk factors; trading programs; fees; conflicts; and performance. **** Annual Compliance & Other Items Annual Privacy Policy Notice. [read post]
13 Nov 2023, 1:01 pm
Certain rules are also put in place requiring brokers to maintain full transparency on potential investments risks, fees, and any possible conflicts of interest. [read post]
7 Nov 2023, 7:30 am
It would also close the data broker loophole by prohibiting intelligence and law enforcement agencies from purchasing Americans’ personal data rather than following the compulsory legal processes established by law. [read post]
3 Nov 2023, 10:39 am
Continually, this rule acts as a mediator as it helps address and manage any conflicts of interest. [read post]
30 Oct 2023, 2:24 am
Conflicts of Interest Conflicts of interest can occur in the securities industry when a broker or financial advisor prioritize their own interests over their clients. [read post]
3 Oct 2023, 9:01 pm
The SEC further alleged that the Company failed to disclose that the CEO had a potential conflict of interest based on an agreement the CEO signed with the same potential merger target company. [read post]
8 Sep 2023, 12:51 pm
The SEC complaint contends that Hoffman failed to disclose conflicts of interest, including Zima’s agreement to lend him up to $1.5 million at a two-percent annual interest rate for soliciting investors. [read post]
16 Aug 2023, 9:04 am
The firms reportedly failed to disclose conflicts of interest, according to the SEC’s orders. [read post]
10 Aug 2023, 9:31 am
Understanding Conflicts of Interest Conflicts of interest can occur in the securities industry when a broker or financial advisor prioritize their own interests over their clients. [read post]
8 Aug 2023, 11:25 am
This form of breach can be expressed in several ways, such as failing to disclose conflicts of interest, misappropriating funds, engaging in self-dealing, or violating a duty of confidentiality. [read post]
20 Jul 2023, 2:09 am
For this service, brokerage firms are generally paid a high commission, often 7% or higher (a 7% up front commission is well in excess of the commissions offered financial advisors selling annuities or mutual funds, which creates an inherent conflict of interest for advisors recommending DST investments). [read post]
15 Jul 2023, 7:37 am
Those interests may be religion, sports, theater or just sex. [read post]
27 Jun 2023, 5:35 am
Morgan Securities and JP Morgan Chase Bank and they agreed to pay $267 million and admit wrongdoing for alleged failure to disclose conflicts of interest to clients. [read post]
12 Jun 2023, 2:08 pm
The SEC alleged that the firm failed to disclose conflicts of interest related to its receipt of undisclosed compensation. [read post]
19 May 2023, 12:50 pm
The Securities and Exchange Commission is also focusing on conflicts of interest that dual registrants face. [read post]
