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5 Mar 2024, 5:40 am
As the study points out, broker-dealers, exchanges and FINRA all maintain detailed, timestamped transactional records that show when securities in one account are transferred to another account. [read post]
4 Mar 2024, 7:39 pm
So instead of passing a privacy law or regulating data brokers, Americans get a sort of regulatory simulacrum designed to distract you. [read post]
4 Mar 2024, 5:36 pm
Our Annuity Loss Recovery Attorney Are Representing This Claimant A senior investor who worked with former Citizens Securities broker David Paul Kopsak is suing the broker-dealer for up to $1,000,000 over losses that she sustained in Colorado Bankers Life Insurance Company. [read post]
4 Mar 2024, 5:35 pm
Our GWG L Bond Loss Recovery Lawyers Are Representing Claimants In Suing Their Brokers On February 15, the GWG Wind Down Trust report submitted a status report with the US Bankruptcy Court for the Southern District of Texas for the quarter that concluded on December 31, 2023. [read post]
4 Mar 2024, 7:12 am
“Investors often suffer losses due to unsuitable investment recommendations by their brokers and don’t realize they have recovery options,” said D. [read post]
4 Mar 2024, 1:19 am
Digital rights advocate Open Rights Group submitted complaints to the ICO and France’s data protection authority, the Commission Nationale de l’informatique et des libertés, accusing the data broker LiveRamp of violating privacy laws. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 10:00 pm
Partners Mary Hevener and Steven Johnson and associate Anna Pomykala wrote an article for Law360 discussing a coming change that will shorten the settlement cycle for most standard broker-dealer securities transactions and its implications for employers that compensate employees through nonqualified stock option or stock award programs. [read post]
3 Mar 2024, 8:02 pm
Rothman What Happens to Your Sensitive Data When a Data Broker Goes Bankrupt? [read post]
1 Mar 2024, 2:16 pm
NYT: Jose Uribe, a former New Jersey insurance broker charged in what prosecutors have described as a broad bribery scheme involving Senator Robert Menendez, pleaded guilty on Friday in Manhattan. [read post]
1 Mar 2024, 3:30 am
I do know that broker-dealers generally aren’t clamoring for more recordkeeping requirements…. [read post]
1 Mar 2024, 3:00 am
National/Federal Lawmakers Across the U.S. [read post]
29 Feb 2024, 9:01 pm
The SEC’s Focus on AI Following significant technological developments in recent years, AI is becoming a tool used by many broker-dealers and investment advisers. [read post]
29 Feb 2024, 7:31 pm
In the words of the claimants’ lawyers, the company has acted as “broker, auctioneer and sales agent at the same time,” representing all sides in the ad-buying process—and preferencing itself the whole way. [read post]
29 Feb 2024, 12:19 pm
Senators are currently advising the Department of Justice to stop funding or if the SFPD wanted to buy up geolocation data being harvested from people’s cells phones and sold on the advertising data broker market, they have to let the public know and put it to a vote before the city’s democratically-elected governing body first. [read post]
29 Feb 2024, 8:54 am
The post Broker Michael Brickman Barred by FINRA appeared first on The White Law Group. [read post]
