Search for: "Conflict of Interest Broker's Commission to Purchaser's Attorney"
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12 Jan 2012, 8:28 am
However, to bring a criminal conflict-of-interest case prosecutors have to prove that the ex-employee contacted the government on behalf of the defendant. [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
6 Oct 2014, 4:30 am
Customs and Border Protection by the owner, purchaser, or licensed broker of the consignee. [read post]
8 Sep 2023, 12:51 pm
The SEC complaint contends that Hoffman failed to disclose conflicts of interest, including Zima’s agreement to lend him up to $1.5 million at a two-percent annual interest rate for soliciting investors. [read post]
29 Sep 2021, 10:40 am
An investor engaging a purchaser representative should pay particular attention to any conflicts of interest the representative may have. [read post]
9 Apr 2010, 6:00 am
Schools that retain insurance brokers, agents, or consultants to help them select and negotiate with student health insurers should preferably pay these intermediaries on a fee basis - rather than through commissions based on premiums - to reduce the possibility that conflicts of interest may arise. [read post]
13 Nov 2023, 1:01 pm
Certain rules are also put in place requiring brokers to maintain full transparency on potential investments risks, fees, and any possible conflicts of interest. [read post]
12 Jun 2023, 2:08 pm
The SEC alleged that the firm failed to disclose conflicts of interest related to its receipt of undisclosed compensation. [read post]
8 Apr 2012, 10:28 am
The evidence demonstrates that [Lawyer]'s conduct created a clear conflict of interest in that there was a substantial risk that his representation of the client would be limited by his own interests. [read post]
5 Apr 2023, 7:14 pm
Once you have found the broker or firm you are interested in, you can view their profile and review any available information about their background and history. [read post]
1 Aug 2012, 1:06 pm
Compensation sharing - Unless all parties to a settlement are informed about whether and how structured settlement annuity commissions are shared, a structured settlement creates a variety of potential conflicts of interest. [read post]
26 Nov 2020, 12:09 pm
If you have concerns regarding investments you purchased through Independent Financial Group and would like to speak with a securities attorney, please call The White Law Group at 888-637-5510. [read post]
17 Apr 2023, 12:40 pm
Investment Management for Conflicts of Interest In January 2022, the SEC reportedly fined O.N. [read post]
8 Jul 2007, 11:02 am
To aid class action defense attorneys in defending against securities class action lawsuits, we provide the text of the Private Securities Litigation Reform Act of 1995 (PSLRA). [read post]
27 Dec 2023, 6:09 pm
If you have concerns regarding investments you purchased through Independent Financial Group and would like to speak with a securities attorney, please call The White Law Group at 888-637-5510. [read post]
16 Jan 2017, 7:37 am
But this representation is not true, because it does not reflect the commission that is paid to the broker, which is hidden in the cost or present value of the annuity communicated to the claimant or claimant’s attorney. [read post]
16 Jan 2017, 7:37 am
But this representation is not true, because it does not reflect the commission that is paid to the broker, which is hidden in the cost or present value of the annuity communicated to the claimant or claimant’s attorney. [read post]
23 May 2019, 1:39 pm
Our investment fraud attorneys have handled many cases involving: Excessive trading or churning Breach of fiduciary duty Elder financial fraud Conflicts of interest where fiduciaries are beneficiaries of an estate Did you invest money with David Fagenson? [read post]
3 Nov 2023, 10:39 am
Continually, this rule acts as a mediator as it helps address and manage any conflicts of interest. [read post]
