Results for Security Brokers Dealers

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For securities law and corporate counsel services in California and nationwide, contact Jacko Law Group to arrange an attorney consultation: 213-631-2549

Wisconsin is home to over 10,000 registered broker-dealers, all of whom currently operate without owing federally imposed fiduciary duties.

When it comes to compliance, social media posts by broker/dealers are in a gray area under current regulatory rules. Some of that uncertainty will be...

An identity theft service that sells Social Security numbers, birth records, credit and background reports on millions of Americans has infiltrated computers at some of America’s largest consumer and business data aggregators, according to a seven-month investigation by KrebsOnSecurity
The Web site ssndob[dot]ms (hereafter referred to simply as SSNDOB) has for the past two years marketed itself on underground cybercrime forums as a reliable and affordable…

On May 15, the Securities and Exchange Commission filed a complaint against Behrooz Sarafraz in California federal court, alleging Sarafraz violated federal securities laws by acting as an unregistere

In this weeks video, Chris Vernon discusses buying investment advice from a local credit union. Generally speaking credit unions tend to have good reputations but a problem arises when the credit...

On August 24, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE), issued its National Exam Program Risk Alert entitled “Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products.” [1] While not directly related to broker-dealer sales of Direct Participation Programs (DPPs), the Alert’s findings are illustrative and the warnings should be heeded by broker-dealers selling DPP securities
The SEC assessed the broker-dealers’ compliance with…

Data brokers, companies that collect consumer information and sell it, are being asked to give details about how they work, and that could lead to more regulation.

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On January 29, 2016, FINRA Rule 4518 - governing recent changes in the world of crowdfunding - became effective. FINRA Regulatory Notice 16-07 provides guidance on the rule and to broker-dealers who are contemplating acting as intermediaries in crowdfunding portals
By way of background, President Obama passed into law the Jumpstart Our Business Startups Act (JOBS Act) on April 5, 2012. One goal of the…

Fund sponsors often engage advisors to assist with raising capital or generating deal flow for their fund. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s carried interest, stock in the applicable portfolio company or some other form of compensation. Many sponsors and advisors are unaware that these activities can trigger …

When John Lindsey broke away in 2012, Edward Jones sued for $5 million. But Lindsey fought back and is helping other brokers do the same.

In this weeks video, Chris Vernon discusses buying investment advice from a local credit union. Generally speaking credit unions tend to have good reputations but a problem arises when the credit union becomes affiliated with a broker-dealer. In the last few years there has been a pattern of those brokerage firms selling high-commission products, find out more here:

As evidenced by recent events at Wells Fargo, many financial advisors become troubled by what they perceive to be the greedy practices of their own firms. Top Advisors often begin to see that the...

As evidenced by recent events at Wells Fargo, many financial advisors become troubled by what they perceive to be the greedy practices of their own firms. If you are an advisor with the same feelings find out what you should do next!

DGDG.com is a group of car dealerships located throughout the San Francisco Bay Area. We sell cars to the communities of San Jose, Oakland & Fremont, CA.

Questions about an account handled by former PFS Investments stock broker Malcolm J. Babin of Gonzalaes, LA ? Rex Securities Law.

Questions about an account handled by former Broker Dealer Financial Services broker Norman R. Sicard of Orlando, FL? Rex Securities Law. Boca Raton, FL and Nationwide. 561 391 1900

On June 1, 2016, the United States Securities and Exchange Commission (the “SEC”) announced and issued an enforcement action (the “Enforcement Action”) against Blackstreet Capital Management, LLC (“BCM”), and its founder, Murry Gunty (“Gunty”). The Enforcement Action arose out of actions taken by funds advised by Blackstreet that the SEC alleges required registration by Blackstreet as a broker-dealer. In particular, the SEC noted
Although the LPAs…