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21 Jan 2015, 3:59 am
Here’s news from this blog by David Jenson of Stinson Leonard Street: The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”) that would exempt parties that act only as deal brokers in M&A transactions from regulation under applicable state broker-dealer laws. [read post]
30 Oct 2020, 6:02 am
As an individual investor, choosing a broker requires careful research. [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]
30 Jun 2016, 4:34 am
Brokers were involved. [read post]
30 Aug 2010, 7:49 pm
And even if you owe and should therefore remit some funds, the broker frequently owes less than the total being demanded. [read post]
3 Mar 2009, 2:26 pm
Do not be afraid to ask questions of potential brokers or investment advisors. [read post]
22 Jan 2024, 6:19 am
On January 16, 2024, the Belgian Supervisory Authority sanctioned a data broker for violating several provisions of the GDPR. [read post]
23 Aug 2023, 9:00 pm
During the past year, there’s been a flurry of regulatory activity related to data brokers. [read post]
6 May 2022, 9:18 am
Jeremy Fortner was a registered broker and investment adviser for 16 years. [read post]
30 Mar 2011, 3:49 pm
A federal judge in Chicago on Wednesday dismissed a lawsuit brought by black brokers at Merrill Lynch who claimed that they were paid bonuses that were lower than white brokers' when Bank of America acquired the firm, Jonathan Stempel of Reuters reports. [read post]
7 Mar 2022, 9:40 am
The post MacKenzie brokers sale of Baltimore warehouse space for $4.2M first appeared on Maryland Daily Record. [read post]
26 May 2011, 2:06 pm
Bank of New York Mellon Corp. and Wells Fargo Bank, who were trustees for Medical Capital Holdings, have sued a number of broker-dealers that marketed the Med Cap private placement offerings, claiming that the broker-dealers sold the securities to investors... [read post]
26 Jul 2023, 10:23 am
The post KLNB brokers $4M sale of storage property in Rockville first appeared on Maryland Daily Record. [read post]
17 Jun 2024, 2:00 am
The bill, known as the FARE (Fairness in Apartment Rental Expenses) Act, ensures that the party hiring a broker, whether tenant or landlord, is responsible for paying the broker. [read post]
27 Sep 2019, 12:35 am
These elements must be present in order to find that the contractor is a labour broker. [read post]
13 Dec 2019, 11:58 am
BROKER’S IMPERSONATION OF HIS CLIENT GONE WRONGHarold A. [read post]
28 May 2010, 2:43 am
Exodus of brokers still a threat for wirehouses: Report - Investment News [read post]
17 Jun 2011, 11:21 am
Broker-dealers are accountable for investigating private placements prior to selling them. [read post]
24 Jul 2009, 5:00 am
The only potential issue was, that by depriving brokers of the right to vote in uncontested elections, the shares would not be present at the meeting, making it harder to obtain a quorum. [read post]
20 Apr 2010, 6:36 am
If you are a broker currently under investigation by FINRA, this blog offers you some valuable resources to help you understand the investigation and disciplinary process. [read post]
