Search for: "Marlene Brokering" Results 1 - 3 of 3
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27 Sep 2019, 3:33 am
Marlene Caride, Commissioner, New Jersey Department of Banking and Insurance, Petitioner/Respondent, v. [read post]
21 Feb 2020, 1:29 am
Marlene Moses and MTR Family Law, PLLC, Defendants (Opinion, Court of Appeals of Tennessee, No. [read post]
8 Sep 2016, 10:45 am by Mark Astarita
 The SEC’s National Exam Program has included wrap fee programs among its annual examination priorities, particularly assessing whether advisers are fulfilling fiduciary and contractual obligations to clients and properly managing such aspects as disclosures, conflicts of interest, best execution, and trading away from the sponsor broker-dealer.The SEC’s investigation of Baird was conducted by Marlene B. [read post]