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8 Oct 2012, 12:28 pm
If the broker does not provide a disclosure, the broker can not enforce the lien under the statute. [read post]
20 Apr 2009, 10:18 am
Registered Rep. magazine reported last week that some lower-producing brokers at UBS will be let go as part of the company's plans to cut costs. [read post]
4 Mar 2014, 11:47 am
Recall that, traditionally, broker-dealers and investment advisors are subject to different duties of care: a suitability standard for broker-dealers and a more stringent, fiduciary duty for investment advisors. [read post]
12 Mar 2019, 1:20 pm
Due to the globalization of business dealings, issues often arise with respect to the proper registration of foreign persons as "brokers" or "dealers" under the U.S. federal securities laws (colloquially referred to as "broker-dealers"). [read post]
12 Sep 2018, 7:24 am
He was a longtime broker of 41 years. [read post]
12 Jan 2023, 8:03 am
On 11 January 2023, the FCA published a portfolio letter setting out its new strategy for supervising wholesale brokers. [read post]
21 Oct 2020, 1:10 pm
Florida Pinnacle Investments Broker is Named in Two Pending Customer Disputes Paul Robert DiPietro, a broker with Pinnacle Investments in Boca Raton, has been named in at least 10 customer complaints over the 12 years. [read post]
16 Nov 2022, 9:10 pm
Continue Reading › The post Our Broker-dealer Arbitration Law Firm is Investigating Western International Securities appeared first on Investor Lawyers Blog. [read post]
4 Jan 2016, 8:33 am
Brokerage Firms & Brokers Success Trade Securities, Inc. and Fuad Ahmed. [read post]
30 Jul 2018, 6:42 am
Tom Wolf signed HB 863, which allows the PA’s real estate brokers, associate brokers and salespeople to provide broker price opinions. [read post]
10 May 2017, 2:11 pm
The post SUPERVISION OF BROKERS AND ASSET MANAGERS IN CURACAO appeared first on Karel's Legal Blog. [read post]
14 Sep 2011, 10:20 pm
Broker firms in HK are required to have in place telephone recording systems but some brokers have gotten into a habit of taking orders over their cell phones. [read post]
19 Feb 2010, 2:29 pm
An unusual criminal case involving a customs broker illustrates the need for U.S. importers to be vigilant in exercising oversight over the activity of their customs brokers. [read post]
30 May 2019, 9:01 pm
But perhaps some brokers have seen the light. [read post]
6 Jun 2023, 5:16 am
But they would each improve on the status quo, and their proposals for a national data broker registry hold important lessons for regulating the data broker industry. [read post]
17 Dec 2013, 9:00 am
In October 2012, Chairman Rockefeller launched an investigation into the business practices of data brokers in order to examine how data brokers collect, compile, and sell consumer information for marketing purposes. [read post]
20 Aug 2018, 12:51 pm
Continue reading The post Broker Shon Flaharty In $500K Dispute appeared first on Securities Arbitration Lawyers Blog. [read post]
31 Aug 2018, 1:52 pm
Ramon Arturo Herrera (CRD #6021170) is a former registered broker and investment advisor, barred by FINRA. [read post]
7 May 2024, 10:09 pm
Continue Reading › The post Northstar Bermuda Broker Fraud Attorney appeared first on Investor Lawyers Blog. [read post]
14 Apr 2021, 9:00 pm
"As of this writing, it is uncertain whether the state plans to appeal the decision and/or whether the legislature will take further action to limit the amount brokers can charge tenants.Source: https://gothamist.com/news/those-hefty-brokers-fees-are-returning-following-state-judges-ruling [read post]
