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26 Apr 2024, 3:51 am
The Douglas Elliman Defendants were the Halperins’ broker. [read post]
25 Apr 2024, 9:05 pm
Wolfe indicated that the SEC was litigating administrative proceedings against engagement partners at firms of all size, for public companies and broker-dealers. [read post]
25 Apr 2024, 10:06 am
Dickau and other recruiters “brokered scores of patients to drug treatment facilities around the country, including the ones run by Mohammad” and other conspirators. [read post]
24 Apr 2024, 3:38 pm
ABOUT US We are selective in the types of cases we represent, focusing on white collar offenses, such as financial crimes, patient brokering, and healthcare fraud. [read post]
24 Apr 2024, 1:16 pm
The post Is The Surrogacy Broker Really The Bad Guy? [read post]
24 Apr 2024, 10:16 am
Illinois’ Senate passed SB 3740 , which would make it easier for real estate brokers licensed in other states to practice in Illinois. [read post]
23 Apr 2024, 7:00 pm
This month, my husband received his “consumer disclosure files” from LexisNexis Risk Solutions and Verisk, two data brokers that work with the insurance industry and that G.M. had been providing with data. [read post]
23 Apr 2024, 11:05 am
Agent/Broker Compensation Restrictions CMS again expresses concern that MA plan sponsors and third-party entities such as Field Marketing Organizations have found ways to structure payments to agents and brokers to circumvent existing regulatory caps on agent and broker compensation. [read post]
22 Apr 2024, 8:15 pm
” Frankly, I don’t think there are any honest brokers in the Middle East. [read post]
22 Apr 2024, 1:15 pm
Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
22 Apr 2024, 12:35 pm
What Defenses Do Brokers Have Against A FINRA Rule 9554 Action? [read post]
22 Apr 2024, 11:39 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
21 Apr 2024, 5:00 pm
Collect and review the terms of all administrative services, PBM, and broker agreements. [read post]
20 Apr 2024, 6:37 pm
U.S. [read post]
19 Apr 2024, 2:04 pm
” Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:43 pm
” Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:34 pm
Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:23 pm
What Defenses Do Brokers Have Against A FINRA Rule 9554 Action? [read post]
19 Apr 2024, 11:35 am
Lottery offences are covered under s. 206, 207, 207.1 and 209 of the Criminal Code, found in Part VII. [read post]
19 Apr 2024, 9:36 am
Although many of these fines have been against entities that are dually registered as broker-dealers and investment advisers, or investment advisers affiliated with broker-dealers, the SEC has not yet announced a multiple-entity round of settlements aimed exclusively at registered investment advisers unaffiliated with any broker-dealer, such as many hedge funds and private equity firms. [read post]
