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15 May 2024, 7:10 am
A broker had failed to five soyabean fields from a policy brokered on behalf of a farmer. [read post]
15 May 2024, 5:00 am
It turned out that the person wasn’t an agent or broker at all. [read post]
15 May 2024, 4:15 am
Firms that perform audits of public companies or SEC-registered brokers and dealers would be required to implement and operate the QC system they design, monitor the system, and take remedial actions where policies and procedures are not operating effectively – creating a continuous feedback loop for improvement. [read post]
14 May 2024, 12:39 pm
The proposal is generally consistent with the CIP requirements for other financial institutions, such as brokers or dealers in securities and mutual funds. [read post]
14 May 2024, 12:22 pm
Today, we get a summary of a hearing that a friendly lawmaker organized to give politicians from several states a forum to explain how big tech companies, advertisers, and data brokers have stymied strong privacy legislation. [read post]
13 May 2024, 10:00 pm
Check out the final episode in Tom Bentz’s four-part video series for insight on how to pick the right broker and the right carrier to advise on acquiring the right cyber liability policy. [read post]
10 May 2024, 2:06 pm
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others. [read post]
10 May 2024, 1:36 pm
Anemia and Qualifying for Disability Benefits Appealing for benefits is best done under the guidance of an experienced disability lawyer. [read post]
9 May 2024, 3:08 pm
As AI increasingly takes over the mainstream in the coming years, investors must remain attentive to the representations RIAs and broker-dealers make about utilizing AI in the financial services they offer to public investors. [read post]
9 May 2024, 2:00 pm
Update 5/9/2024: We received a report of another scam. [read post]
9 May 2024, 11:59 am
” Brokerage firms must supervise their brokers to ensure they comply with FINRA rules. [read post]
9 May 2024, 7:29 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]
9 May 2024, 6:22 am
Investment Trends: Residential fixed investment showed notable increases, driven by brokers’ commissions and new housing constructions. [read post]
9 May 2024, 6:05 am
Named after the defendant in the “Great Poison Trial,” chemist Roland Burnham Molineux was accused double-murderer and son of a renowned Civil War general and preeminent New York City power broker. [read post]
9 May 2024, 4:00 am
[A] corporate insurance broker who has been involved with Republican politics for fifty years told me that many of his friends are “below the radar screen. [read post]
9 May 2024, 3:37 am
As a real estate agent or broker, this means that you will have a separate fee agreement with each individual client and potentially between cooperating brokers. [read post]
9 May 2024, 3:00 am
The blog goes on to recount the story of a company that paid finders fees to unlicensed brokers in a series of offerings. [read post]
8 May 2024, 9:01 pm
The Act combines a series of unrelated national security provisions that, among other things: Extend the statute of limitations for violations of U.S. sanctions laws to 10 years; Require the President to identify individuals and entities that are targeted under the Russia-related sanctions programs of the European Union (EU) and United Kingdom (UK) but are not currently the subject of U.S. sanctions, in order to encourage “harmonization” of U.S. sanctions with those of the EU and UK;… [read post]
8 May 2024, 8:02 pm
Throw in Google’s oft-delayed but still planned attempt to kill the cookie outright, and data brokers have had to get more clever. [read post]
8 May 2024, 7:45 pm
Ron Wyden, D-Ore., who has been at the forefront of scrutinizing intelligence agency use of data brokers, offered both criticism and praise of the document…” [read post]
