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22 Mar 2024, 8:24 pm
Because you're a lawyer, or other professional (MD, CPA, engineer, broker), you now have a license to be incompetent, semi-competent, or a chronic screw-up on the details of getting much (if not most) your of work done? [read post]
22 Mar 2024, 2:55 pm
CB Life Annuity Investors’ Best Chances For Financial Recovery May Be To Sue Broker-Dealer A North Carolina Court of Appeals has rejected billionaire Greg Lindberg’s appeal, which clears a path for his Colorado Bankers Life Insurance and Bankers Life Insurance to begin liquidation proceedings on June 30, 2024. [read post]
22 Mar 2024, 12:26 pm
” As evidence, she pointed to enforcement actions against data brokers and emphasized that the FTC is “looking past the consumer focused applications and zeroing in on the backend infrastructure that is facilitating the commercial surveillance ecosystem. [read post]
22 Mar 2024, 9:07 am
Bucher’s broker profile indicates that he has three customer disputes pending. [read post]
22 Mar 2024, 2:20 am
” Coming on the heels of the SEC proposing new rules in 2023 for investment advisers and broker-dealers using “predictive data analytics,” and the SEC’s joint alert with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) flagging concerns about increasing investment frauds involving the use of artificial intelligence, it is clear that the SEC will be focused on artificial intelligence in the months… [read post]
21 Mar 2024, 7:55 pm
Commercial data brokers are selling their third-party data to the government. [read post]
21 Mar 2024, 1:24 pm
Which might come only after the buyer has laid down money to inspect the property, pay brokers and attorneys to review paperwork, and figure out the logistics.... [read post]
21 Mar 2024, 1:16 pm
However, the definition of a “transferee entity” excludes certain highly-regulated entities, including U.S. governmental authorities, securities reporting issuers, certain banks, credit unions, depository institution holding companies, money service businesses, brokers or dealers in securities, securities exchange or clearing agencies, other Exchange Act registered entities, insurance companies, state-licensed insurance producers, Commodity Exchange Act registered entities,… [read post]
21 Mar 2024, 12:14 pm
Writing in the Feb. 5 issue of the National Hog Farmer, an agricultural commodities broker declared with confidence that the “market has fully adjusted to Prop 12,” that “margins are highly profitable,” and that “U.S. pork exports are rising. [read post]
21 Mar 2024, 10:49 am
Commercial data brokers are selling their third-party data to the government. [read post]
21 Mar 2024, 9:04 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 Mar 2024, 8:55 am
The site is known as the birthplace of the Western Apache religion, yet the deal was brokered bilaterally during the Obama administration between the United States and Resolution Copper (owned by Rio Tinto, the world’s second-largest mining company, tacitly referred to later in the panel as the company that blew up a 50,000 year-old aboriginal ruin in Australia). [read post]
21 Mar 2024, 8:17 am
His broker profile indicates that he has 10 disclosures reported, including 8 customer complaints and a bankruptcy filing. [read post]
21 Mar 2024, 6:00 am
As a result of the settlement – which is still subject to the approval of the judge overseeing the case – the standard 6% commission on a home sale, heretofore split between the buyers’ and sellers’ agent, will be replaced with a system whereby prospective buyers can shop around for a lower rate and brokers can advertise those rates, even charging flat fees if they wish. [read post]
20 Mar 2024, 3:00 pm
Novinger settled the case in 2016 and as part of the settlement was barred from association with an broker, dealer, investment adviser and was barred from participating in any penny stock offering. [read post]
20 Mar 2024, 2:53 pm
AI washing, whether it’s by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing may violate the securities laws. [read post]
20 Mar 2024, 4:49 am
This hidden process shows how car companies, data brokers like LexisNexis, and insurance firms are working together, sparking worries about how much privacy we really have in the digital age. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
