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18 Feb 2024, 7:02 pm
Did Herbert J Sims Broker Alan Dalewitz Sell You Private Placements? [read post]
18 Feb 2024, 6:52 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, 6:38 pm
He worked at other broker-dealers before that during his 23 years in the industry. [read post]
18 Feb 2024, 6:36 pm
The financial firm/broker-dealer Herbert J. [read post]
16 Feb 2024, 8:06 am
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2. [read post]
16 Feb 2024, 7:00 am
Brokers surprised by denials “Have just a little bit of shame,” said Marisol Alvarez, who is a licensed insurance broker who owned her own company and is an expert witness in King’s lawsuit. [read post]
16 Feb 2024, 6:18 am
This approach is consistent with the CIP Rule for broker-dealers, which was issued jointly by FinCEN and the SEC in 2003. [read post]
15 Feb 2024, 11:43 pm
MRA Brokers, the third respondent, is a competitor broker. [read post]
15 Feb 2024, 9:01 pm
Investment advisers and broker-dealers aren’t supposed to place your interests ahead of your customers’ interest or give unsuitable or conflicted investment advice or recommendations. [read post]
15 Feb 2024, 6:42 pm
We are representing many investors in pursuing damages against the broker-dealers that unsuitably marketed and sold them annuities from this offshore company that went bankrupt in 2020. [read post]
15 Feb 2024, 8:26 am
If your broker lacks transparency, it raises concerns about their intentions. [read post]
15 Feb 2024, 7:57 am
A 2023 federal jury decision in the Middle District of Missouri has caused disruption in the standard practice of sellers paying the commissions of both brokers involved in a transaction. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 10:00 pm
The Federal Trade Commission (FTC) recently reached two settlements in actions against data brokers concerning their use of consumer location data and banning them from collecting, using, or selling consumer location data without consent. [read post]
14 Feb 2024, 3:58 pm
The FTC is using its authority to investigate many forms of digital deception, from deceptive and fraudulent online ads to the use of cloud computing to lock in business customers to data brokers’ sale of our personal information. [read post]
14 Feb 2024, 12:17 pm
The SEC has pending a proposed regulation, anticipated for adoption before the end of this year, requiring brokers and advisers to remove data analytics which would put the firm’s interests before the interests of investors. [read post]
