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7 Jun 2024, 10:50 am
In March 2023, the SEC charged three StraightPath sales agents with fraud and unregistered broker activity. [read post]
7 Jun 2024, 10:13 am
” Watch EFF’s Cory Doctorow, Eva Galperin, Hayley Tsukayama, and others in the digital rights community explain how your data gets scooped up by data brokers—and common practices to protect your privacy online—in Secrets in Your Data on NOVΛ. [read post]
7 Jun 2024, 7:20 am
Moreover, with Morena and its two junior coalition partners having come within an inch of a two-thirds supermajority in both the federal Chamber of Deputies and the Senate and winning control in 24 of Mexico’s 32 states, it will likely be relatively easy for Sheinbaum to broker the deals necessary to change the Constitution. [read post]
7 Jun 2024, 7:05 am
” 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]
7 Jun 2024, 6:44 am
What Defenses Do Brokers Have Against A FINRA Rule 9554 Action? [read post]
7 Jun 2024, 6:19 am
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]
5 Jun 2024, 3:38 pm
Customer Complaints and Broker Misconduct All broker-dealers have a responsibility to adequately supervise its employees. [read post]
5 Jun 2024, 1:45 pm
According to its FINRA Broker Report, the firm reportedly has 10 disclosure events on its broker record including 7 regulatory events and 3 arbitrations. [read post]
5 Jun 2024, 1:15 pm
IBG LLC, Interactive Brokers LLC, 2022-1630 (Fed. [read post]
5 Jun 2024, 10:52 am
Broker dealers are required to supervise their employees. [read post]
5 Jun 2024, 6:00 am
HB 121 will enact the Vermont Data Privacy Act, the Vermont Data Broker Security Breach Notice Act and the Vermont Age-Appropriate Design Code.Continue Reading › [read post]
4 Jun 2024, 7:01 pm
Continue Reading › The post Broker Fraud Attorney Firm appeared first on Investor Lawyers Blog. [read post]
4 Jun 2024, 7:00 pm
The septuagenarian was a widow who entrusted Centaurus Financial broker John Edmond Tryon to properly manage her assets. [read post]
4 Jun 2024, 6:59 pm
Representing Older SF Bay Area Investors Against Broker-Dealers and Investment Advisers For more than 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been representing elderly investors who have been the victims of financial abuse by stockbrokers and investment advisers. [read post]
4 Jun 2024, 11:33 am
After Hill’s report, GM announced it would stop sharing data with these brokers. [read post]
4 Jun 2024, 6:43 am
” Wilk, whose practice centers on professional liability defense and employment litigation, defends professionals including accountants, attorneys, homeowners’ associations (HOAs), escrow officers, insurance agents and brokers, and real estate professionals against claims of negligence, breach of fiduciary duty, fraud, and allegations brought under the Business & Professions Code and the Racketeer Influenced and Corrupt Organizations Act (RICO). [read post]
4 Jun 2024, 4:20 am
When considering specific market segments as of end of day on May 29: – Prime Broker Affirmation Rate: 98.6% (up from 81% in January) – Investment Manager Auto Affirmation (central match) Rate: 97.5% (up from 92% in January) – Custodian or Investment Manager (self) Affirmation Rate: 84.29% (up from 51% in January) Statement from Brian Steele, Managing Director, President, Clearing & Securities Services: “After working closely with the industry for over three… [read post]
4 Jun 2024, 4:17 am
The Guide to D&O Insurance for SPAC IPOs provides an overview of the most common litigation that SPACs have faced, a description of the regulatory enforcement environment, an explanation of the process for securing D&O insurance and questions to ask when engaging a broker, among other topics. [read post]
4 Jun 2024, 3:20 am
DTE plans are grounded in collaboration and create the opportunity to work with providers and other key partners, including consultants, brokers and third-party administrators, to develop an effective education strategy. [read post]
3 Jun 2024, 10:00 pm
Brokerage: General Issues and Relevant Topics Learn about real estate broker licensing requirements, real estate brokerage issues, and the most common types of brokerage agreements. [read post]
