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16 Jun 2010, 2:07 am
WISENBERG Last week, in a significant decision construing SEC Rule 10b-5 in the context of criminal prosecutions, the Ninth Circuit held that "if a broker and a client have a trust relationship...then the broker has an obligation... [read post]
19 Jan 2007, 4:10 am
"The former Citigroup broker for convicted WorldCom chief executive Bernard J. [read post]
12 Oct 2010, 2:03 pm
NASAA posted on its website its 2010 Broker-Dealer Coordinated Examination Report, which identifies the top compliance deficiencies and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures. [read post]
18 Jul 2023, 10:00 pm
Partner Ignacio Sandoval is featured in a Law360 article covering the US Securities and Exchange Commission’s proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and proprietary accounts of broker-dealers’ reserve bank accounts. [read post]
19 Dec 2022, 10:26 am
The post Retail leasing broker selected for ‘hotel upcycling’ projects in Baltimore first appeared on Maryland Daily Record. [read post]
1 Jul 2009, 3:44 pm
Currently, NYSE Rule 452 and corresponding Listed Company Manual Section 401.08 permit brokers to vote on behalf... [read post]
18 Jul 2023, 10:00 pm
Partner Ignacio Sandoval is featured in a Law360 article covering the US Securities and Exchange Commission’s proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and proprietary accounts of broker-dealers’ reserve bank accounts. [read post]
5 Mar 2011, 1:10 pm
The Investment Advisers Act of 1940 excludes from its broad definition of "investment adviser" broker-dealers that provide advice "solely incidental to" their conduct as broker-dealers and receive no "special compensation" for their service. [read post]
18 Jul 2023, 10:00 pm
Partner Ignacio Sandoval is featured in a Law360 article covering the US Securities and Exchange Commission’s proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and proprietary accounts of broker-dealers’ reserve bank accounts. [read post]
3 Apr 2019, 3:00 am
How Do Competition Policy and Data Brokers Shape Product Market Competition? [read post]
9 Oct 2009, 8:03 am
Only the Master LLC would register as a broker-dealer. [read post]
29 Nov 2019, 10:51 am
SSEK Law Firm continues to investigate such claims, including those involving UBS and its brokers. [read post]
17 Jan 2019, 12:23 pm
Continue reading The post FINRA Bars Broker Jackie Wadsworth appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Jun 2018, 2:00 pm
Craig Dean Blattner (CRD #1590301) is a previously registered Florida broker and investment advisor. [read post]
28 Jan 2019, 11:18 am
Continue reading The post Broker Roy Failla Subject of $1.5M Dispute appeared first on Securities Arbitration Lawyers Blog. [read post]
21 Jun 2018, 1:24 pm
Lee Robert Donais (CRD #2347440) was a registered broker with SCF Securities, Inc. [read post]
27 Aug 2018, 7:55 am
Continue reading The post Former Broker Shaun Hayes Accused Of Unauthorized Trading appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Dec 2018, 1:38 pm
Ricky Allen Mantei (CRD #1098981, aka “Ricky Allen Mantel”) is a registered broker currently employed with Centaurus Financial, Inc. [read post]
16 Dec 2008, 9:36 am
Why is the broker-dealer out of business if the scheme involved on the investment adviser clients? [read post]
20 Jun 2018, 2:00 pm
Matthew Evan Eckstein (CRD #2997245) is a registered broker with Sisk Investment Services, Inc. [read post]
