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30 Oct 2023, 7:10 am
As our readers are aware, the United States Supreme Court’s decision in Facebook, Inc. v. [read post]
27 Oct 2023, 6:00 am
The Fed’s action, which the payments industry has been expecting for some time, comes as the nation’s banking regulator seeks to reduce its mandated cap on debit interchange for the first time since the current regulation became effective 12 years ago as part of the Durbin Amendment to the Dodd-Frank Act. [read post]
26 Oct 2023, 8:53 am
If a broker or brokerage firm fails to comply with this requirement, then industry regulators can use FINRA Rule 9554 to take immediate enforcement action against them. [read post]
26 Oct 2023, 8:35 am
World Group Securities, Inc. [read post]
26 Oct 2023, 7:49 am
Daniel Santos PFS Investments Inc. [read post]
26 Oct 2023, 2:05 am
Before launching her own company, Kim was CPO at League Inc. and prior to, was Partner and CTO at Deloitte Canada. [read post]
25 Oct 2023, 12:49 pm
If a broker or brokerage firm fails to comply with this requirement, then industry regulators can use FINRA Rule 9554 to take immediate enforcement action against them. [read post]
25 Oct 2023, 12:36 pm
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]
25 Oct 2023, 12:29 pm
Amsouth Investment Services, Inc. [read post]
25 Oct 2023, 8:30 am
Inc. [read post]
25 Oct 2023, 8:05 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]
25 Oct 2023, 7:36 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]
24 Oct 2023, 9:01 pm
When we recommend a new enforcement action, we put a lot of thought into making sure that our charging documents, whether settled or litigated, clearly telegraph the basis of the misconduct to industry participants. [read post]
24 Oct 2023, 12:46 pm
Background Guaranteed Rate, Inc. [read post]
20 Oct 2023, 2:40 pm
These nine enforcement actions came quickly on the heels of the SEC’s first enforcement action alleging violations of the New Marketing Rules. [read post]
19 Oct 2023, 9:17 am
Appleman on Insurance 2d…; Brand Distributors Inc. v. [read post]
19 Oct 2023, 8:59 am
[LexisNexis Commentary: This IMR is particularly interesting because the medication Geodon, which was at issue here, was the subject of a $301 million settlement between Pfizer, Inc. and the U.S. [read post]
19 Oct 2023, 8:17 am
Industries, Inc. v. [read post]
19 Oct 2023, 8:17 am
Industries, Inc. v. [read post]
18 Oct 2023, 9:01 pm
Like the SEC’s prior action against BNY Mellon Investment Adviser Inc. [read post]
