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4 Jun 2024, 7:00 pm
The septuagenarian was a widow who entrusted Centaurus Financial broker John Edmond Tryon to properly manage her assets. [read post]
4 Jun 2024, 6:59 pm
Representing Older SF Bay Area Investors Against Broker-Dealers and Investment Advisers For more than 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been representing elderly investors who have been the victims of financial abuse by stockbrokers and investment advisers. [read post]
4 Jun 2024, 11:33 am
After Hill’s report, GM announced it would stop sharing data with these brokers. [read post]
4 Jun 2024, 6:43 am
” Wilk, whose practice centers on professional liability defense and employment litigation, defends professionals including accountants, attorneys, homeowners’ associations (HOAs), escrow officers, insurance agents and brokers, and real estate professionals against claims of negligence, breach of fiduciary duty, fraud, and allegations brought under the Business & Professions Code and the Racketeer Influenced and Corrupt Organizations Act (RICO). [read post]
4 Jun 2024, 4:20 am
When considering specific market segments as of end of day on May 29: – Prime Broker Affirmation Rate: 98.6% (up from 81% in January) – Investment Manager Auto Affirmation (central match) Rate: 97.5% (up from 92% in January) – Custodian or Investment Manager (self) Affirmation Rate: 84.29% (up from 51% in January) Statement from Brian Steele, Managing Director, President, Clearing & Securities Services: “After working closely with the industry for over three… [read post]
4 Jun 2024, 4:17 am
The Guide to D&O Insurance for SPAC IPOs provides an overview of the most common litigation that SPACs have faced, a description of the regulatory enforcement environment, an explanation of the process for securing D&O insurance and questions to ask when engaging a broker, among other topics. [read post]
4 Jun 2024, 3:20 am
DTE plans are grounded in collaboration and create the opportunity to work with providers and other key partners, including consultants, brokers and third-party administrators, to develop an effective education strategy. [read post]
3 Jun 2024, 10:00 pm
Brokerage: General Issues and Relevant Topics Learn about real estate broker licensing requirements, real estate brokerage issues, and the most common types of brokerage agreements. [read post]
3 Jun 2024, 12:50 pm
The post Gabriel Edelman, ex-Spartan Capital Broker, Barred by SEC appeared first on The White Law Group. [read post]
3 Jun 2024, 5:26 am
-brokered deal, while two far-right ministers — Finance Minister Bezalel Smotrich and National Security Minister Itamar Ben Gvir — threatened to resign and topple his governing coalition if he does. [read post]
3 Jun 2024, 4:31 am
Kefalas alleged that the building was sold “for approximately $64 million,” the proceeds of which Pappas allegedly diminished by improperly paying expenses including unauthorized broker commissions and personal and family tax planning fees. [read post]
2 Jun 2024, 9:01 pm
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. [read post]
31 May 2024, 2:08 pm
If they all say no (providing “declinations”), then the broker may seek coverage in the surplus and excess lines market. [read post]
31 May 2024, 11:49 am
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
31 May 2024, 11:27 am
Law § 3239, “no such life insurance company…and no officer, agent, solicitor or representative thereof and no such insurer doing in [New York] the business of accident and health insurance and no officer, agent, solicitor or representative thereof, and no licensed insurance broker and no employee or other representative of any such insurer, agent or broker, shall pay, allow or give, or offer to pay, allow or give, directly or indirectly, as an inducement to any… [read post]
31 May 2024, 8:23 am
Unfortunately, many US broker-dealers sold these annuities to investors, including US investors and foreign nationals. [read post]
31 May 2024, 8:22 am
Did Your Broker Sell You A Griffin Capital DST And You Sustained Serious Losses? [read post]
31 May 2024, 8:20 am
Did You Suffer Investment Losses While Working With Former Independent Financial Group Broker Armando Roman? [read post]
31 May 2024, 6:47 am
In 2023, Beijing helped broker an agreement between Saudi Arabia and Iran to reestablish diplomatic relations. [read post]
31 May 2024, 4:30 am
Even the insurance broker who sold the Policy insisted that the clause did not apply. [read post]
