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8 Aug 2023, 11:25 am
This can happen in various ways, such as when a broker makes trades in your account without your approval, or when a broker exceeds the trading authority that you have granted them. [read post]
23 Dec 2014, 1:53 pm
In a first-of-a-kind case, the Federal Trade Commission is targeting a data broker for allegedly selling sensitive consumer information — including bank account numbers — to marketers that authorities said the broker knew had no legitimate need for it. [read post]
28 May 2014, 9:00 am
Read More › Tags: Data Broker, Data Protection, FTC, Privacy [read post]
5 Jan 2018, 5:00 am
Detroit Body Broker Accused of Selling Diseased Parts, Storing Fetuses The post Detroit Body Broker Accused of Selling Diseased Parts, Storing Fetuses appeared first on Legal Reader. [read post]
7 Jan 2019, 10:41 am
Importantly, the law does not require data brokers to offer consumers the ability to opt out. [read post]
7 Jan 2019, 10:41 am
Importantly, the law does not require data brokers to offer consumers the ability to opt out. [read post]
29 Jun 2023, 7:46 pm
Continue Reading › The post Broker Omissions Attorney appeared first on Investor Lawyers Blog. [read post]
9 Apr 2018, 10:02 am
Churning, or excessive trading is a particularly egregious form of broker misconduct, because the broker trades in and out of securities, sometimes within the same day. [read post]
24 Apr 2006, 7:28 am
Finding the right settlement broker is one of the most important steps in the lawsuit settlement process. [read post]
22 Sep 2022, 12:25 pm
This includes $825K in restitution from the broker-dealers and $211K from eight current and ex-Joseph Stone brokers, all of whom have been suspended. [read post]
29 Jun 2009, 12:49 pm
On July 1, 2009, the SEC will hold a Sunshine Act Meeting at which it will consider the issue of instructed broker voting. [read post]
30 Oct 2017, 5:50 am
More Arrests Made in Florida's Sober Home Patient Brokering Investigation The post More Arrests Made in Florida’s Sober Home Patient Brokering Investigation appeared first on Legal Reader. [read post]
15 Nov 2023, 12:30 am
The post How to File a Complaint against your Broker appeared first on The White Law Group. [read post]
28 Jun 2022, 10:21 am
§ 14501(c)(1)) trumps all other state and federal rules authorizing liability of motor carriers, brokers, and freight forwarders. [read post]
20 Jun 2023, 3:26 am
The post Finra Sidelines Long Island Broker Over Inaccurate Customer Contact Notes appeared first on Stoltmann Law. [read post]
10 Jun 2023, 5:53 pm
The post Finra fines small New York broker-dealer for Reg BI failures appeared first on Stoltmann Law. [read post]
11 Jun 2023, 11:05 am
Finra charged a former broker, Charles V. [read post]
16 Jun 2011, 9:25 am
The ex-broker has also been charged criminally, a procedure that I'll be watching [read post]
15 Feb 2019, 8:47 am
However, brokers are obligated to conduct suitability studies of any and all investments they recommend to clients. [read post]
16 Jun 2017, 9:35 am
A study commissioned by Reuters with the assistance of Columbia University Law School identified nearly fifty FINRA registered broker dealers where a large percentage of its brokers had “red flags” on their public disclosures. [read post]
