Search for: "BROKER "
Results 581 - 600
of 42,365
Sorted by Relevance
|
Sort by Date
2 Sep 2021, 2:31 pm
The SEC supervises brokers and investment advisers and people in those professions know that periodic compliance visits can get very granular. [read post]
19 Dec 2013, 3:52 pm
Rich noted various enforcement actions that the FTC has taken against data-broker companies, recommendations relating to data brokers set forth in the FTC’s March 2012 Report, and additional educational initiatives, although she underscored that the FTC has limited enforcement tools with respect to data brokers that are not subject to the FCRA. [read post]
21 Dec 2018, 5:30 pm
Definition of “Data Broker”: The law defines “data broker” as a business or business unit “that knowingly collects and sells or licenses to third parties the brokered personal information of a consumer with whom the business does not have a direct relationship. [read post]
1 Mar 2022, 9:33 am
Ayre, who most recently was a Hilltop Securities broker, worked as an Oppenheimer & Co. broker from 2014 to 2017. [read post]
3 Jun 2022, 10:40 am
The broker is accused of excessively trading in the accounts of clients. [read post]
11 Mar 2022, 12:53 pm
SEC Says Older Seniors Were Defrauded of $1.2M by Garden State Securities Broker The U.S. [read post]
13 Dec 2019, 4:33 am
Allen, the CEO of New York-based broker-dealer, NYPPEX Holdings LLC, is accused of defrauding investors of over $13M. [read post]
7 Sep 2021, 9:13 am
The ex-broker is being accused of enriching himself and The Parking REIT since 2012. [read post]
25 Jan 2022, 7:38 am
This resulted in the broker making hundreds of thousands of dollars in undisclosed commissions. [read post]
9 Dec 2019, 7:11 am
Ex-Securities America Broker Investigated For Ponzi Scam Involvement The US Securities and Exchange Commission (SEC) announced that it has permanently barred ex-Securities America broker, Ronald Roach, in the wake of his involvement in a $909M Ponzi fraud. [read post]
22 Dec 2021, 9:15 pm
Yet this analysis is of interest not merely to brokers accepting PFOF and to the wholesale brokers and stock exchanges that pay them. [read post]
14 Sep 2020, 7:14 am
Former Stifel Nicolaus Broker Steven Dale Rodemer Barred By SEC for Alleged Fraud On September 11, one week after it filed the complaint against former Colorado broker Steven Rodemer bringing allegations of fraud, the United Securities and Exchange Commission (SEC) issued an order barring him from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO, or participation in any offering of a penny… [read post]
14 Sep 2020, 7:14 am
Former Stifel Nicolaus Broker Steven Dale Rodemer Barred By SEC for Alleged Fraud On September 11, one week after it filed the complaint against former Colorado broker Steven Rodemer bringing allegations of fraud, the United Securities and Exchange Commission (SEC) issued an order barring him from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO, or participation in any offering of a penny… [read post]
29 May 2009, 3:15 am
According the SEC, brokers from the defunct Brookstreet Securities Corporation held out collateralized mortgage obligations (CMO) [SEC backgrounder], which the SEC says are [read post]
9 Jun 2023, 2:42 pm
The post Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRA appeared first on Stoltmann Law. [read post]
16 Jun 2022, 7:05 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jun 2021, 7:48 am
The post Broker Must be the “Procuring Cause” of the Sale to be entitled to Sale Commission. appeared first on Business Law Firm LLC. [read post]
11 Jun 2023, 1:38 pm
The post Finra opens inquiry on smoothie-throwing broker James Iannazzo appeared first on Stoltmann Law. [read post]
16 Sep 2021, 11:16 am
If … Continue reading Is My Intermediary A “Finder” Or “Broker”? [read post]
5 Feb 2015, 11:38 am
Brokers have sued firms on these types of allegations, including former Morgan Keegan brokers. [read post]
