Agile Launches Agile Chat for Lenders and Brokers – The Durango Herald May 11, 2022 New feature improves transparency and efficiency of MBS trading PHILADELPHIA, Pa., May 11, 2022 (SEND2PRESS NEWSWIRE) — Agile, a revolutionary fintech uniting mortgage lenders…
Broker-Dealer succeeds in fighting look-through sourcing in New York | Pillsbury – SeeSalt Blog May 10, 2022 A New York State Division of Tax Appeals administrative law judge has rejected the New York State Division of Taxation’s use of a look-through…
Broker Embu licensed to trade coffee May 9, 2022 Merchandise Broker Embu licensed to trade coffee Tuesday, May 10, 2022 A farmer from Tuiyo, Kapseret ward of Uasin Gishu County during the harvest…
B.C. broker siphoned off $2 million to fund Okanagan estate, regulator says May 6, 2022 Jeffrey Rutledge is scheduled to appear before a regulatory panel on May 26. A Vancouver stockbroker allegedly embezzled more than $2 million from client…
Broker sentenced for scheme targeting churches May 6, 2022 A California-based former registered broker/dealer has been convicted along with several co-conspirators of defrauding a number of churches and a real estate development company…
Opportunity Zone Experts USG Realty Capital Selects WealthForge to Manage Brokerage Services and Technology Solutions to Streamline the Investing Process May 6, 2022 Additionally, USG recently launched KindCare in Bristola development of housing for the elderly with assisted living and memory care. SANTA BARBARA, Calif., May 6,…
Data broker sells location data of people who visit abortion clinics May 3, 2022 Image: The Washington Post/Contributor Piracy. Disinformation. Surveillance. CYBER is Motherboard’s podcast and reports on the dark underbelly of the internet. A location data firm…
Mercer buys $1.2 billion from RIA and Missouri brokerage May 3, 2022 Mercer Global Advisors announced the acquisition of HYA Advisors, a Springfield, Mo. RIA and broker with $1.2 billion in assets under management and advisory….
Sideways: How to Play Prime Broker Wordle May 3, 2022 Damian Williams, U.S. Attorney for the Southern District of New York, points to a board announcing the indictment of Bill Hwang of Archegos. Photo…
Independent broker recruiter Jon Henschen publishes “Whose Fiduciary Standard Are You Use?” May 2, 2022 by Jon Henschen article, “Which fiduciary standard do you use? » We review potential conflicts of interest that include proprietary advisory platforms, forgivable transition…
Former Cetera Broker Obtained $3M in Wrongful Termination Damages April 29, 2022 A three-person panel of arbitrators in Orlando, Fla., ordered the Cetera Financial division of Cetera Advisors to pay $3 million in damages Thursday to…
The Secret Broker: Shake the tree to see who’s falling April 29, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Planet Wealth takes on Wall Street with broker-dealer offering April 28, 2022 Fintech leader turns to broker to power digital trading, underwriting and other services Tweet that “Our goal is to empower anyone who wants to…
Why South African Traders Should Only Trade With A Licensed Broker April 26, 2022 Online business The popularity of online trading and the increase in investment scams have led regulators around the world to impose strict rules to…
The Secret Broker: Who’s gonna let the dogs out? April 22, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Commodity broker Marex posts record profit on market surge April 21, 2022 London-based brokerage Marex Group posted a record profit last year as costs for energy, metals and agricultural products took off as economies reopened after…
Roberts & Ryan Investments Inc., the first U.S. brokerage owned by a disabled veteran, is pleased to welcome Will Russell as its new Managing Director for Capital Markets April 20, 2022 NEW-YORK – April 20, 2022 – ( Newswire.com ) Mr. Russell joins Roberts & Ryan with over 17 years of experience in equity and…
Are brokers acting in the best interests of their clients? “Not Yet,” Says FINRA | rumberger | Church April 20, 2022 Noting Gaps, FINRA Suggests Best Practices for Reg BI Compliance In its first-ever Best Interests Regulation (Reg BI) compliance review, the Financial Industry Regulatory…
US Prime Crypto Broker FalconX Gains ISDA and NFA Approval April 19, 2022 FalconX operates as a regulated counterparty, allowing partners to offer crypto derivatives to their client base with well-managed risk exposure. Digital asset platform FalconX…
What future for the interprofessional broker TP Icap? April 16, 2022 When shareholder activists target financial firms, the story is not encouraging. In 2005 there was an activist campaign to prevent Deutsche Boerse from buying…
SEC Staff Provide Advice on Standards of Conduct for Brokers and Investment Advisors for Accounts and Rollover Recommendations to Retail Investors | Goodwin April 15, 2022 The staff of the United States Securities and Exchange Commission recently issued a bulletin reiterating the standards of conduct applicable to broker-dealers and investment…
SEC Standard Settlement Cycle for Broker-to-Broker Transactions April 14, 2022 Related practices and jurisdictions On February 9, 2022, the SEC issued a statement proposing rule changes to shorten the standard settlement cycle for most…
5 of the Best Independent Brokers for Financial Advisors | Financial advisors April 14, 2022 Choosing which broker to join is one of the most important decisions you will make as an independent financial advisor. The right broker will…
The Secret Broker: Easter mailbag edition – How to fix a PR mess, brokerage style April 14, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
How to Succeed – The Reformed Broker April 13, 2022 Make yourself useful to smart, successful people. This is how you should spend the first ten years of your career. Surround yourself with smart,…
Advisor360° Launches Automated Document Grouping to Maximize Broker Administrative Efficiency April 13, 2022 WESTON, Mass.–(BUSINESS WIRE)–Advisor360°, a software-as-a-service (SaaS) provider of integrated technology for the wealth management industry, today announced the launch of Automated Document Bundling, which…
How to Choose the Best Online Broker for UK Traders April 12, 2022 What is an online broker? An online broker is the “middleman” between buyers and sellers of financial instruments. Brokerages charge traders and investors a…
UAE Cryptocurrency: Binance Obtains ADGM Approval to Operate as a Broker-Dealer – News April 10, 2022 Abu Dhabi Global Market is a pioneer in introducing robust regulatory frameworks for virtual assets to support the growth of the global blockchain ecosystem…
Wakefield Levels Above broker changes direction with £160,000 from North East finance company April 7, 2022 A West Yorkshire firm is changing direction on the back of a six-figure package from a County Durham financial firm. Former rental broker Levels…
SEC advises brokers and investment advisers to put the interests of retail investors first April 4, 2022 (Photo credit: Andriy Blokhin/Shutterstock Overview of the SEC’s Standards of Conduct for Investment Advisors Staff Bulletin: WHO: The United States Securities and Exchange Commission…
American National Bank of Texas Transfers Brokerage Relationship to Ameriprise Financial for Improved Customer Experience April 4, 2022 MINNEAPOLIS–(BUSINESS WIRE)–American National Bank of Texas (ANBTX), an independent bank with more than $5 billion in assets and more than 30 locations in North…
What is the difference between brokers and investors… April 1, 2022 Both brokers and advisers are obligated to work in your best interests, but in different ways. Learn about the regulatory differences between the two,…
Man detained for posing as a luxury car broker and cheating a bizman out of Rs 1.25 cr March 31, 2022 A 23-year-old man was arrested by Azad Maidan police on Monday for allegedly deceiving a 30-year-old businessman out of Rs 1.25 crore on the…
Spam as a Service – The Reformed Broker March 30, 2022 If you’re curious where all the billions of venture capital and IPO dollars are spent by all these software-as-a-service startups, I get it. The…
Daughter of convicted New York broker pleads guilty in $11m Ponzi scheme case March 30, 2022 The daughter of a convicted New York broker pleaded guilty yesterday to her role in a Ponzi scheme that stole more than $11 million…
New Futures Products – Global Online Broker Tradeview Markets Launches Futures Trading March 29, 2022 Tradeview Markets’ Cayman Islands-based broker/dealer, Tradeview Ltd, announces the launch of its new Futures division Tradeview Ltd, (Tradeview) announces the launch of its new…
You and the law | Call a car broker? Be Careful – Times-Standard March 29, 2022 Many people who want to take the hassle out of buying or selling a vehicle, whether for business or personal use, hire a car…
Call a car broker? Pay attention! H. Dennis Beaver | Remark March 27, 2022 Many people who want to take the hassle out of buying or selling a vehicle, for business or personal use, hire a car broker…
Call a car broker? Pay attention! H. Dennis Beaver | Journalist March 27, 2022 Many people who want to take the hassle out of buying or selling a vehicle, whether for business or personal use, hire a car…
FINRA evicts Utah broker, orders $2.3 million in restitution March 25, 2022 The Financial Industry Regulatory Authority expelled Salt Lake City-based broker/dealer Alpine Securities from the sector, which has a long history of regulatory problems, and…
The Secret Broker: With research comes knowledge. Without it comes experience March 25, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Acxiom, Experian, Equifax, CoreLogic, TransUnion, Oracle, Lifelock, HIG Capital, PeekYou – ChattTenn Sports March 24, 2022 A Information Brokerage Services Market The research study thoroughly explores the global key growth strategies, drivers, opportunities, and competitive landscape in the market. This…
US hedge fund asks inter-dealer broker TP ICAP to explore selling March 23, 2022 Shares of the world’s largest inter-dealer broker, TP ICAP, jumped as much as 11% on Wednesday after US hedge fund Phase 2 Partners asked…
Hit 5 broker-friendly bets to navigate choppy markets March 23, 2022 US equity markets have been reeling from high volatility since the start of 2022. The Federal Reserve’s aggressive stance to rein in unprecedented inflation…
£60k-a-year City broker who fell ill after celebrating Diwali loses race discrimination case March 22, 2022 A ‘party’ city broker who took time off work after working a weekend to celebrate Diwali has lost a race discrimination case. Priyank Thakkar,…
Citi hires exclusively women-owned brokers to lead distribution of $2.25 billion bond issue March 22, 2022 NEW YORK–(BUSINESS WIRE)–Citi today announced that it has recruited exclusively women-owned companies as co-lead managers of a $2.25 billion bond offering on behalf of…
Yacht broker banned from driving his Ferrari FF in Ireland after hitting 120mph March 20, 2022 MEET the yacht broker banned from driving a high-powered Ferrari FF – after he was timed overtaking three cars at an incredible 120mph. iall…
The astonishing – if unsurprising to recruiters – the resurrection of ‘smoothie’ broker James Iannazzo, who lands at a brokerage 52 days after Merrill Lynch sacked him over his outburst March 19, 2022 Iannazzo’s name appeared as a registered broker with Ageis Capital, suggesting clients tend to be forgiving or oblivious in these circumstances, the recruiter said….
SoftBank-Backed Broker Avenue Launches Bitcoin Trading March 18, 2022 SoftBank-backed broker Avenue Securities on Wednesday launched native, fee-free bitcoin trading services through integration with B2B platform Apex Crypto to meet growing demand for…
All in a day’s work: Google details access broker Exotic Lily for ransomware gangs March 18, 2022 Image: Google Google’s Threat Analysis Group detailed a group it called the Exotic Lily that breached a target and sold the access they gained….
Overview of the Transportation Management Software (TMS) for Freight Brokers 2022, Trends by 2026 – Strategy Systems, Load Pilot, Aljex, Truckstop and Arcline March 16, 2022 The global Freight Broker Transportation Management Software (TMS) Market research report includes in-depth market analysis, assessment, and assumptions derived from a number of sources….
SEC staff warn brokers to ‘stay alert’ amid market volatility | Item March 15, 2022 Staff representing the Securities and Exchange Commission’s (SEC) Commerce and Markets Division issued a statement on Monday warning brokers and other market participants to…
BTG Pactual appoints a new manager for the Chilean broker March 11, 2022 BTG Pactual has appointed a new manager for its brokerage business in Chile. The Brazilian financial services firm has appointed Hugo César Rubio as…
BTG Pactual appoints new manager for the Chilean broker March 11, 2022 BTG Pactual has appointed a new manager for its brokerage business in Chile. The Brazilian financial services firm has appointed Hugo César Rubio as…
SEC approves IPO of stockbroker CTS Global March 11, 2022 The Securities and Exchange Commission (SEC) has approved the initial public offering (IPO) of brokerage firm CTS Global Equity Group, Inc. worth up to…
The Secret Broker: Big Shot or a barrel full of nickel-plated monkeys? March 10, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Dodge Power Broker Performance Parts Dealerships Open March 10, 2022 Dodge Power Brokers dealer network, the exclusive source for new Direct Connection performance parts, officially opens with staff trained to deliver a performance-driven customer…
Dodge’s Power Broker Direct network opens up to get your Mopar faster and under warranty March 10, 2022 The Power Broker network is finally open for business. Dodge advertised the new Direct Connection program with fancy stuff like its Donut Maker stance,…
It’s Wayback Wednesday! : Wardell and Company | Sponsored by Jamie Lockwood, Broker/Owner of Sutton Group Muskoka Realty March 9, 2022 It’s Wayback Wednesday, sponsored by Jamie Lockwood, Broker/Owner of Sutton Group Muskoka Realty! Prior to the Great Fire of April 18, 1894, a trading…
Real estate broker Greg Tannor faces a cannabis industry full of opportunity and risk March 9, 2022 “The Closer” is a new bi-weekly column in which journalist Natalie Sachmechi talks to brokers around town about what motivates them and their toughest…
Finra fines Deutsche broker for trading failures March 8, 2022 Deutsche Bank’s brokerage business was fined $2 million by the Financial Industry Regulatory Authority (Finra) for years of using a poorly designed trading system…
5 broker-friendly stocks to buy despite current jitters March 7, 2022 Ongoing tensions between Russia and Ukraine have intensified volatility in the US market, which is already suffering from inflation and supply chain constraints. Sanctions…
Litigation Funding Broker Market 2022-2030 by Top Key Players – Contract Disputes, Wrongful Death, Augusta Ventures Limited, LexShares March 7, 2022 The most recent statistical survey report on the Litigation Funding Brokers Market involves a comprehensive assessment of the Litigation Funding Brokers industry, presenting the…
The Secret Broker: Shakin’ Behind the Green Door March 3, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Miami Broker Launches Wealth Management Business, Lands Product Platform Deal March 3, 2022 Miami-based brokerage firm SupraBrokers has launched a new wealth management division and signed a deal with product platform StoneX. The broker, which has operations…
SEC accuses ex-broker of duping elderly clients out of $1.2 million March 2, 2022 The Securities and Exchange Commission said a former broker who was suspended by the Financial Industry Regulatory Authority has agreed to settle fraud charges…
Insurance broker Aon reveals cyberattack March 2, 2022 Breach Notification, Cybercrime, Cybercrime as a Service Incident disclosed in U.S. Securities and Exchange Commission filing Prajeet Nair (@prajeetspeaks) • March 2, 2022 Aon…
Citi to roll out banking and lending program for RIAs and brokers March 2, 2022 Citi is preparing to launch a new program designed for independent advisors who will offer banking and lending services to their clients. The new…
FINRA Says Broker Earned ‘Secret’ Compensation on $10M Fundraising March 1, 2022 By Al Barbarino (March 1, 2022, 4:02 PM EST) – The Financial Industry Regulatory Authority’s Enforcement Unit says broker-dealer Worden Capital Management LLC should…
Newport Yacht Broker, Outboard Motor, Marine Engineer Jobs – Oyster Harbors Marine March 1, 2022 For over 30 years, Oyster Harbors Marine has served the communities of Cape Cod and New England with the highest level of professionalism in…
FINRA alerts brokers to Russia sanctions March 1, 2022 On February 24, the Treasury announced additional sanctions against Russia, with OFAC issuing Directive 2 under Executive Order 14024: Prohibitions on Correspondent or Sweeping…
Kingswood Holdings noted a buy by broker finnCap February 28, 2022 finnCap has issued a Buy recommendation on Kingswood Holdings (AIM: KWG), the fully integrated international wealth management group. In its report, FinnCap recommends that…
12 Best and Worst Broker-Dealers: Q4 Results, 2021 February 25, 2022 Eight out of 12 brokers reported higher earnings in the fourth quarter of 2021 than a year ago. That’s down from 11 of 12…
The Secret Broker: sit back and listen to a rambling tale of unrequited love, Japanese businessmen and booster shots February 25, 2022 After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…
Cloud Access Security Broker (CASB) Software Market Overview by Advance Technology, Future Outlook 2028 – Materials Handling February 24, 2022 The Cloud Access Security Broker (CASB) Software Market report is a perfect analysis which can provide you with an in-depth study of the Cloud…
The market for information brokerage services goes to Boom- myFICO, American Express, Identity Guard, Equifax, Innovis – Materials Handling February 24, 2022 The Information Brokerage Services Market report is a perfect basis for people who are looking for a comprehensive study and analysis of the Information…
How options expiration continues to crush the stock market February 22, 2022 Josh here – you may have noticed a trend over the past few years, especially pronounced in recent months. Stocks are hit hardest around…
New Rochelle brokerage censored for weak supervision and controls February 22, 2022 A New Rochelle financial broker has been sanctioned for inadequate policies and procedures in supervising its representatives. The Financial Industry Regulatory Authority censured and…
Southern District of New York dismisses securities short-selling claims against brokers, allowing identity theft claims to proceed – Corporate/Commercial Law February 21, 2022 United States: Southern District of New York dismisses securities short-selling claims against brokers, allowing spoofing claims to continue February 21, 2022…
Drug broker who boasted he could smuggle 50 kilos of cocaine a week from South America is jailed February 20, 2022 A criminal boasted of having connections in South America to import 50 kilos of cocaine a week to supply major British cities, including Manchester….
Fintech star Zanbato and innovative broker Rialto Markets announce partnership February 19, 2022 Private equity market pioneers Rialto Markets and Zanbato have formed a partnership to meet the demands of a rapidly changing investor industry. Zanbato’s alternative…
Southern District of New York Dismisses Securities Short Selling Claims Against Brokers, Allowing Impersonation Claims to Continue | Shearman & Sterling LLP February 18, 2022 On February 9, 2022, Judge Lorna G. Schofield of the Southern District of New York denied in part and granted in part a motion…
5 stocks to add to your Post Broker Upgrade portfolio February 18, 2022 It’s no secret that the complexities associated with stock markets are not easy to master, as a plethora of stocks floods the space at…
Southern District of New York dismisses securities short-selling claims against brokers, allowing spoofing claims to continue February 17, 2022 On February 9, 2022, Judge Lorna G. Schofield of the Southern District of New York denied in part and granted in part a motion…
The independent national broker develops its cybersecurity February 17, 2022 Colorado, USA, Feb. 17 11, 2022 (GLOBE NEWSWIRE) — The Leaders Group, Inc., a Colorado-based brokerage that serves brokerage general agents, insurance agents and…
Ex-broker gets 7 years in prison for $2.4m scam targeting older clients February 16, 2022 What do you want to know An ex-broker in Florida was sentenced to 87 months in prison and three years of probation. The judge…
Dentons adds regulator FINRA Broker-Dealer in New York February 15, 2022 By Emily Lever (February 15, 2022, 2:43 PM EST) — Dentons has hired a senior attorney at the Financial Industry Regulatory Authority as a…
Broker’s compliance officer fined for anti-money laundering failures February 15, 2022 A former Interactive Brokers LLC compliance officer has agreed to pay a $25,000 fine to settle allegations that he failed to properly oversee the…
Data Broker Market 2022: Share, Outlook, Future Growth and Opportunities by 2028 February 14, 2022 “Global Data Broker Market describes an in-depth assessment and Study on the Covid19 epidemic on the current and future state of the data broker…
Nigerian Multi-Asset Broker Kwakol Markets to Attend iFX EXPO Dubai 2022 February 9, 2022 Leading Nigeria-based multi-asset brokerage, Kwakol Markets, has announced its participation in EXPO iFX 2022, which will be held from February 22-24 at Za’abeel Hall…
Nigerian broker Kwakol Markets to attend iFX EXPO Dubai 2022 February 9, 2022 Leading Nigeria-based multi-asset brokerage, Kwakol Markets, has announced its participation in EXPO iFX 2022, which will be held from February 22-24 at Za’abeel Hall…
Veteran Reg A+ Broker Dalmore Group’s Reg A+ Funding Solution for OTC Companies | News February 8, 2022 NEW YORK–(BUSINESS WIRE)–February 8, 2022– OTC (OTC) markets provide a trading platform for trading securities that are not yet eligible or decide not to…
Veteran Reg A+ Broker Dalmore Group’s Reg A+ Funding Solution for OTC Companies February 8, 2022 NEW YORK–(BUSINESS WIRE)–Over-the-counter (OTC) markets provide a trading platform for trading securities that are not yet eligible or decide not to be traded on…
Crypto Prime Broker SFOX Adds Another Wall Street Vet in Increased Effort to Support Hedge Fund Transition to Crypto February 8, 2022 SAN FRANCISCO–(BUSINESS WIRE)–SFOX, a leading digital asset trader focused on helping hedge funds adopt and grow crypto trading, today announced the addition of another…
Update from SMC Genesis Financial shareholders on US expansion seeking to acquire Broker-Dealer and… | News February 7, 2022 Charleston, South Carolina, Feb. 07 28, 2022 (GLOBE NEWSWIRE) — SMCE and its wholly-owned subsidiary Genesis Financial are seeking acquisition opportunities in the United…
Canopy’s growth continues to be beaten by top high street brokers – Technical420 February 7, 2022 Over the past quarter, several Canadian and Wall Street companies lowered their price targets on major cannabis companies in North America. After analyzing the…
CFD Broker Market Size, Share, Trends, Regional Outlook and Forecast by 2028 February 7, 2022 The CFD brokers market report is a perfect basis for people who are looking for a comprehensive study and analysis of the CFD brokers…
Personal Insurance Brokers and Insurance Agencies Market Size by Type, Application, Key Players, Geographic Scope and Forecast 2022-2027 – Instant Interview February 7, 2022 The Insurance Broker and Personal Lines Insurance Agency Market report is a perfect foundation for individuals looking for in-depth study and analysis of the…
Policyongo.com by Unilight Insurance Broker, India’s Insurance Marketplace February 4, 2022 Unilight Insurance Broker, a rapidly growing brokerage that has established itself as one of the leading insurance and reinsurance brokers, announces its foray into…
Unilight Insurance Broker announces ‘Policyongo.com’ February 4, 2022 New Delhi [India]February 4 (ANI/SRV): Unilight Insurance Broker, a rapidly growing brokerage that has established itself as one of the leading insurance and reinsurance…
