Search for: "IN RE BROKER MINORS"
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7 Jun 2018, 1:13 pm
Senate Majority Leader Mitch McConnell said Wednesday morning “We’re not going to be passing that in the Senate. [read post]
26 May 2018, 1:00 am
It’s both an investment advisor and a broker dealer. [read post]
24 Mar 2018, 1:00 am
Essentially, it was minor. [read post]
8 Mar 2018, 1:15 pm
You’re running a high integrity program. [read post]
18 Jan 2018, 9:17 am
While they’re serving cold beverages in the back, they’re also serving hot coffee. [read post]
18 Jan 2018, 6:30 am
” And he kindly gave me the phone number of a structured settlement broker that has now become my friend over the past 25 years and that’s Mr. [read post]
5 Jan 2018, 8:35 am
In some cases, supplemental insurance can be purchased to cover chronic or preexisting conditions, and your insurance broker can help you find a policy that meets your needs, and protects you while you’re traveling away from home. [read post]
4 Jan 2018, 11:43 am
At one time it was common for banks and brokers, not to offer these. [read post]
28 Nov 2017, 5:35 pm
Today we’re launching a new version of Panopticlick, an EFF site which audits your browser privacy protection. [read post]
20 Nov 2017, 5:00 am
Representative Sean Duffy (R-Wis) re-introduced legislation that would regulate proxy advisory firms. [read post]
1 Oct 2017, 6:35 pm
This eliminates any confusion that you’re acting in your own interests or assuming any personal liability for what you’re signing. [read post]
29 Sep 2017, 6:34 am
Securities and Exchange Commission, on Tuesday, September 26, 2017 Tags: Broker-dealers, Capital formation, Compensation ratios, Cybersecurity, Disclosure, EDGAR, Financial technology, Investment advisers, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation CEOs and ISS’ Proxy Contest Framework Posted by Institutional Shareholder Services, Inc., on Wednesday, September 27, 2017 … [read post]
26 Sep 2017, 8:45 am
While the deck is certainly stacked in favor of the brokers and the broker-dealers, that should not deter you from seeking legal relief for your injuries. [read post]
18 Aug 2017, 6:16 am
Tievsky, Pillsbury LLP, on Thursday, August 17, 2017 Tags: Activist arbitrageurs, Appraisal rights, Arbitrage, Boards of Directors, D&O insurance, Delaware cases, Delaware law, DGCL, DGCL Section 262, Director liability, Fiduciary duties, Hedge funds, In re Appraisal of Dell, Indemnification, Merger litigation, Mergers & acquisitions, Securities litigation Delaware’s Most Recent… [read post]
7 Aug 2017, 3:45 pm
You should consult with your insurance broker, attorney, or qualified professional. [read post]
5 Aug 2017, 4:50 pm
" We're getting nowhere.12. [read post]
31 Jul 2017, 3:00 am
It’s pretty clear that the roboadvisors aren’t commissioned salesmen and that they have only relatively minor conflicts of interest. [read post]
14 Apr 2017, 2:51 pm
Greyline Solutions Expands Compliance Offering to Broker-Dealers – the regulatory compliance consulting company Greyline Solutions (editors note: I am a minority owner in this business) announced the upcoming acquisition of Vista Compliance which will add significant broker-dealer expertise to its RIA offerings. [read post]
17 Jan 2017, 4:19 pm
Rather, the SEC staff may only compel compliance from entities regulated by the SEC such as broker-dealers and registered investment advisers (e.g., managers of mutual funds and private funds) who are required to produce many records kept in the ordinary course of their business (e.g., a broker-dealer must produce customer account statements to the SEC staff since these are required books and records). [read post]
19 Dec 2016, 3:21 am
The Re/Max Case The dispute in Re/Max of New York, Inc. v Weber, Short Form Order, Index No. 600848/16 [Sup Ct Nassau County Nov. 29, 2016], centered on two, diametrically opposed narratives surrounding a 1998 transaction in which a stockholder with 15 shares representing a 4% equity stake sold his interest to the defendant, Weber, who served as president and director of the company in the business of franchising real estate brokers. [read post]
