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23 May 2024, 1:59 pm
The post Broker Gary Kieper Allegedly Embezzled Town’s Funds appeared first on The White Law Group. [read post]
23 May 2024, 1:59 pm
From the start, they had made it clear to their broker that, given their ages, they did not want to take on any undue risks. [read post]
22 May 2024, 1:02 pm
Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P, which implements the Gramm-Leach Bliley Act (“GLBA”) for SEC-regulated entities such as broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
21 May 2024, 9:01 pm
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
21 May 2024, 3:01 pm
EFF noted that HB 1181 does not require all parties who may have access to the data—such as third-party intermediaries, data brokers, or advertisers—to delete that data. [read post]
21 May 2024, 5:13 am
A broker had failed to five soyabean fields from a policy brokered on behalf of a farmer. [read post]
20 May 2024, 10:00 pm
FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings Understand the broker-dealer’s due diligence requirements in an exempt offering. [read post]
20 May 2024, 1:48 pm
Contact your insurance carrier(s) or broker to verify existing coverage limitations and secure any necessary coverage in the state where the employee works. [read post]
19 May 2024, 10:13 pm
Joshua Rozenberg has a post about the Guide on his Substack, “A Lawyer Writes” Internet and Social Media On 14 May 2024, the UK National Cyber Security Centre and three major UK insurance associations (Association of British Insurers, British Insurance Brokers’ Association and International Underwriting Association, published joint guidance on the approach to ransom payments. [read post]
19 May 2024, 7:02 pm
Continue Reading › The post Broker Fraud Lawyer appeared first on Investor Lawyers Blog. [read post]
19 May 2024, 6:56 pm
Estate of Texas Retiree With Dementia Files Six-Figure Broker Fraud Lawsuit Against LPL Financial And Broker Bradley Bowman. [read post]
19 May 2024, 6:51 pm
Yet, many brokers continue to market and sell them to these investors in order to earn high commissions. [read post]
19 May 2024, 6:46 pm
Are You An Investor Who Suffered Losses While Working With Broker Bill Shopoff? [read post]
19 May 2024, 5:16 pm
This research provides a case study on how one country, Indonesia, is relying on a murky ecosystem of surveillance suppliers, brokers and resellers that obscures the sale and transfer of surveillance technology. [read post]
19 May 2024, 5:06 pm
Four highlights from this week: Google Accidentally Deleted $125 Billion Pension Fund’s Account; Generating Harms: Generative AI’s New & Continued Impacts; What I wish I’d known before my smartphone was snatched; and Mortgage Brokers Sent People’s Estimated Credit, Address, and Veteran Status to Facebook. [read post]
19 May 2024, 2:30 am
Conte, CPIA, MSRE, a broker with Honig Conte Porrino Insurance Agency, Inc, talked about the importance of "renter's insurance. [read post]
19 May 2024, 2:30 am
Conte, CPIA, MSRE, a broker with Honig Conte Porrino Insurance Agency, Inc, talked about the importance of "renter's insurance. [read post]
18 May 2024, 6:47 am
Four highlights from this week: Google Accidentally Deleted $125 Billion Pension Fund's Account; Generating Harms: Generative AI’s New & Continued Impacts; What I wish I’d known before my smartphone was snatched; and Mortgage Brokers Sent People’s Estimated Credit, Address, and Veteran Status to Facebook. [read post]
17 May 2024, 12:27 pm
The new requirements will be binding on broker-dealers (including funding portals), investment companies, registered investment advisers, and transfer agents. [read post]
17 May 2024, 8:00 am
In California, the rules governing commissions for agents, brokers, and auctioneers involved in probate sales are outlined in California Probate Code. [read post]
