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22 Feb 2024, 10:17 am
FINRA has recently proposed changes to its Rule 3240, which allows for scenarios where brokers can borrow from or lend to their clients. [read post]
21 Feb 2024, 9:06 pm
Ten years after a jury trial convicted him of 31 charges, resulting in a 20-year federal prison sentence, peanut broker Michael Parnell, 65, has filed his opening brief in his appeal of that conviction and sentence with the U.S. [read post]
21 Feb 2024, 6:47 pm
In addition, according to public disclosure reports for its brokers, Emerson Equity LLC has paid over $4.2 million in settlements in 2023 and the first few days of 2024. [read post]
21 Feb 2024, 7:45 am
Disclosure Obligations: Brokers are required to provide clear and comprehensive disclosure of all material facts relating to the broker-client relationship, including fees, conflicts of interest, and the scope of services provided. [read post]
21 Feb 2024, 7:02 am
Rather than taking sides when disputes arise, it has become known for attempting to broker peace deals and defuse tense situations. [read post]
21 Feb 2024, 6:04 am
https://lnkd.in/gPnv9w3N Back-to-back sales of bonds in U.S. through brokers could subject Mexican banks to jurisdiction in class action for fixing bonds’ prices. 22-2039_opn.pdf (uscourts.gov) Federal court that had jurisdiction to stay lawsuit in favor of arbitration lacked jurisdiction to confirm or vacate award. 221253.P.pdf (uscourts.gov) Expert’s opinion that diabetes drug caused heart problems lacked reliable support. 24a0028p-06.pdf (uscourts.gov) Law of… [read post]
21 Feb 2024, 5:47 am
[Law360] * "Wachtell and S&C Broker Largest M&A Deal Yet of 2024. [read post]
21 Feb 2024, 4:47 am
Linda Thomas-Greenfield said the resolution would jeopardize Washington’s negotiation efforts with Qatar and Egypt to broker a deal for hostage releases in exchange for a temporary humanitarian ceasefire. [read post]
20 Feb 2024, 5:24 pm
According to our law firm’s review of public disclosure reports of individual brokers, Ausdal Financial Partners and/or its brokers have been the subject of at least 26 customer disputes connected with its sale of GWG L Bonds to retail investors. [read post]
20 Feb 2024, 1:55 pm
The Commission’s recent actions addressing AI facial recognition technology, data brokers and health apps and websites demonstrate that the FTC will not hesitate to combat emerging privacy harms and other abuses in the marketplace. [read post]
20 Feb 2024, 10:39 am
This is a practice where brokers receive payments for forwarding client orders to certain trading platforms. [read post]
20 Feb 2024, 4:31 am
If you look at sort of the reality of data brokers, the people who grab this data that's all out there, and then sell it, including moving it across borders, I think what you will learn is sort of hair raising in terms of what underlies the digital economy and our digital existences and just thinking about what the rules should be for how that data is handled, who has rights to that data, and then the international components around trade and prosperity but also trade and national… [read post]
20 Feb 2024, 4:31 am
If you look at sort of the reality of data brokers, the people who grab this data that's all out there, and then sell it, including moving it across borders, I think what you will learn is sort of hair raising in terms of what underlies the digital economy and our digital existences and just thinking about what the rules should be for how that data is handled, who has rights to that data, and then the international components around trade and prosperity but also trade and national… [read post]
19 Feb 2024, 9:01 pm
Similarly, the SEC has proposed substantive rules related to the use of (and potential conflicts of interest) associated with using predictive data analytics in connection with products and services offered by investment advisers and broker-dealers.[9] Other retail industries may be similarly affected, and boards in these industries should be especially cognizant of training, testing, data management and monitoring. [read post]
19 Feb 2024, 5:23 am
Holl testified that in December 2016, he was contacted by the Trump Organization’s insurance broker in connection with the renewal of the firm’s D&O insurance. [read post]
19 Feb 2024, 4:00 am
Within 14 days of receiving the shares from an issuer, Almagarby would tell his broker to sell them.Almagarby allegedly acted almost exclusively on his own, although the court’s opinion indicated that he did hire legal counsel and used “finders” as a source of referrals. [read post]
FSTB launches consultation on the proposed licensing regime for providers of OTC VA trading services
18 Feb 2024, 9:38 pm
., brokers, VA ATMs and other platforms that provide services for buying and selling VAs outside of an exchange). [read post]
18 Feb 2024, 7:44 pm
New York Financial Advisor Fraud Lawyers From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. [read post]
18 Feb 2024, 7:29 pm
Did Your Oppenheimer Broker Recommend The Firm’s Portfolio Enhancement Program? [read post]
18 Feb 2024, 7:07 pm
The ex-Georgia broker pleaded guilty to wire fraud last year. [read post]
