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Tag Archives: Brokers
Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers
On April 15, the New Jersey Bureau of Securities (the “Bureau”) issued a rule proposal to establish a uniform fiduciary duty standard applicable to investment advisers, brokers-dealers and their registered representatives and agents. Specifically, the proposed rule (N.J.A.C. 13:47A-6.4), which … Continue reading
Posted in Administrative law
Tagged Brokers, Duties, efforts, fiduciary, Impose, Jersey, Progresses, Proposal, Recent, Rule, state
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New Jersey Bureau of Securities Sanctions Interactive Brokers LLC for Failure to Supervise
The New Jersey Bureau of Securities announced that it has resolved its investigation of the online broker dealer Interactive Brokers LLC of Greenwich, CT (“Interactive”) relating to fraudulent trading activity and securities fraud Interactive permitted on its online trading platform. … Continue reading
Posted in Immigration law
Tagged Brokers, Bureau, Failure, Interactive, Jersey, sanctions, Securities, Supervise
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GPB Capital, Brokers Under Fire
Already the focus of inquiries by the SEC and FINRA, the FBI recently made an unannounced visit to the New York investment firm, GPB Capital Holdings.GPB Capital has raised $1.8 billion through private placements. It raises those funds by getting … Continue reading
New Second Circuit Statute of Limitations Ruling A Benefit to Loan Originators, Brokers
As originators and brokers of mortgage loans continue to get served with new lawsuits (or threatened with potential suits) related to loans that they conveyed to aggregators prior to the financial crisis of 2008, questions almost inevitably arise as to … Continue reading
Posted in Banking and Finance law
Tagged benefit, Brokers, Circuit, Limitations, Loan, Originators, ruling, Second, Statute
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