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4 May 2024, 9:03 am
ATC Brokers Ltd., 96 F.4th 1303 (11th Cir. 2024). [read post]
4 May 2024, 4:00 am
Office: 408-245-7700; Broker# 00979413 Pat@SiliconValleyBroker.com The post When a home sale turns into a family tug-of-war appeared first on J&Y Law Firm. [read post]
3 May 2024, 12:31 pm
” These investments were never suitable for individual investors, but that didn’t stop brokers and broker-dealers from selling them. [read post]
3 May 2024, 11:49 am
Kwame Adusei (CRD#: 6166926) is a former broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Poughkeepsie, NY. [read post]
3 May 2024, 11:22 am
Insurance agents or brokers are not personal financial counselors and risk managers, approaching guarantor status, and it is well settled that agents have no continuing duty to advise, guide, or direct a client to obtain additional coverage. [read post]
3 May 2024, 7:59 am
And so the jury heard about a “sex-tape broker” whom Mr. [read post]
2 May 2024, 5:14 pm
They should prevent any company—regardless of where it is based—from collecting massive amounts of our detailed personal data, which is then made available to data brokers, U.S. government agencies, and even foreign adversaries. [read post]
2 May 2024, 12:35 pm
Broker dealers are required to supervise their employees. [read post]
2 May 2024, 11:56 am
Way back in 2017, one of our earliest posts discussed the legal and financial risks to both the issuer and the finder if an issuer pays a finder’s fee in connection with a sale of securities in the United States, and the person receiving the fee is not a U.S. registered broker-dealer. [read post]
2 May 2024, 6:54 am
The Act exempts certain entities from the meaning of “data broker. [read post]
2 May 2024, 6:05 am
As a result, as part of the of the American-brokered 1995 Dayton Peace Agreement that ended the Bosnian War, the RS was folded into postwar Bosnia as one of the country’s two “entities. [read post]
2 May 2024, 5:10 am
Here’s today’s news ISRAEL-HAMAS WAR A senior Hamas official told AFP news that the group’s response to the proposed truce deal brokered by Egypt and Qatar was “negative,” but that discussions were continuing. [read post]
2 May 2024, 12:15 am
The California Corporate Securities Law of 1968 combines the concepts of "broker" and "dealer" and requires registration of "broker-dealers". [read post]
1 May 2024, 10:16 pm
Broker dealers are required to supervise their employees. [read post]
1 May 2024, 9:01 pm
The precise contours of these exceptions, which are not further defined in the text of PADFA, will be important in understanding the scope of entities that meet the “data broker” definition. [read post]
1 May 2024, 1:02 pm
Ajamie LLP filed a putative class action lawsuit against Merrill Lynch on behalf of a former broker from California. [read post]
1 May 2024, 11:18 am
We represent clients throughout the state against local and regional broker-dealers, as well as the largest brokerage firms on Wall Street. [read post]
1 May 2024, 11:14 am
Family Seeks Up to $1M in Damages From Cetera Investment Services Over Non-Traded REIT Losses in Cole Capital, Arc Realty Finance Another Cetera Broker Accused of Using Shared Cultural Affinity To Gain Trust of Investors of Chinese Descent More investors of Chinese descent are suing broker-dealer Cetera because of losses they sustained in allegedly unsuitable investments. [read post]
1 May 2024, 11:11 am
Couple Sues Charles Schwab After Broker Purportedly “Chased Returns” That Led To Serious Life Savings Losses. [read post]
1 May 2024, 11:01 am
Our REIT Loss Attorneys Are Looking Into Allegations of Broker Misconduct For the past year, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been speaking to investors who suffered losses in Peakstone Realty (NYSE: PKST), which is a publicly registered real estate investment trust (REIT). [read post]
