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24 Apr 2024, 10:16 am
Illinois’ Senate passed SB 3740 , which would make it easier for real estate brokers licensed in other states to practice in Illinois. [read post]
23 Apr 2024, 7:00 pm
This month, my husband received his “consumer disclosure files” from LexisNexis Risk Solutions and Verisk, two data brokers that work with the insurance industry and that G.M. had been providing with data. [read post]
23 Apr 2024, 11:05 am
Agent/Broker Compensation Restrictions CMS again expresses concern that MA plan sponsors and third-party entities such as Field Marketing Organizations have found ways to structure payments to agents and brokers to circumvent existing regulatory caps on agent and broker compensation. [read post]
22 Apr 2024, 8:15 pm
” Frankly, I don’t think there are any honest brokers in the Middle East. [read post]
22 Apr 2024, 1:15 pm
Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
22 Apr 2024, 12:35 pm
What Defenses Do Brokers Have Against A FINRA Rule 9554 Action? [read post]
22 Apr 2024, 11:39 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
20 Apr 2024, 6:37 pm
U.S. [read post]
19 Apr 2024, 2:04 pm
” Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:43 pm
” Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:34 pm
Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
19 Apr 2024, 1:23 pm
What Defenses Do Brokers Have Against A FINRA Rule 9554 Action? [read post]
19 Apr 2024, 9:36 am
Although many of these fines have been against entities that are dually registered as broker-dealers and investment advisers, or investment advisers affiliated with broker-dealers, the SEC has not yet announced a multiple-entity round of settlements aimed exclusively at registered investment advisers unaffiliated with any broker-dealer, such as many hedge funds and private equity firms. [read post]
19 Apr 2024, 9:27 am
Notably, however, the Court did grant the motion to dismiss the claim that Coinbase acted as an unregistered broker through its self-custodial wallet service, since the wallet does not provide brokerage services such as order routing or making investment recommendations. [read post]
19 Apr 2024, 8:19 am
The staff noted that it identified deficiencies in 17 percent of the comment forms it issued for each of the 2021 and 2022 inspection cycles where the auditor did not perform sufficient procedures to test the accuracy and completeness of IPC or other data and reports, including information produced by service organizations.The report, which includes good practices and other staff reminders, is intended to help auditors improve their audits of public companies and broker-dealers.Read the… [read post]
18 Apr 2024, 2:14 pm
Data Brokers Recently, Senator Wyden’s office released a statement about a long investigation into Near Intelligence, a data broker company that sold geolocation data to The Veritas Society, an anti-choice think tank. [read post]
18 Apr 2024, 12:00 pm
Real estate brokers are now required to have written contracts with both buyers and sellers. [read post]
18 Apr 2024, 12:00 pm
Real estate brokers are now required to have written contracts with both buyers and sellers. [read post]
18 Apr 2024, 9:25 am
Everyday, your personal information is being harvested by your smart phone applications, sold to data brokers, and used by advertisers hoping to sell you things. [read post]
18 Apr 2024, 7:37 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
