Sentences with phrase «against stock brokers»

Typical Customer Arbitration Disputes — An overview of the claims which are typically brought by retail customers against their stock brokers.

Not exact matches

In that process, you'll want to check any fees linked to futures trading, any complaints lodged against the broker, and its track record in generating clean, fair stock index future trades.

Just because one may commend one life choice over another — being a social worker over being a stock broker — does not mean the preference needs to be legally enforced (there is no law against being a stock broker).

At the same time, the discount stock broker also offers MAS (Margin Against Shares), another exposure related product where you can use high leverage values by keeping your shares as a collateral.

Important: Many investments you will make through a broker (e.g. stocks) are not insured against losing value like the money in your bank account.

Like ETF and listed stock orders, NextShares orders transmitted by broker - dealers to Nasdaq are matched against the best current offer (for a purchase) or best current bid (for a sale) for execution.

This is NOT a guarantee against losses from stock or bond market or fund declines, but a guarantee against broker bankruptcy or insolvency.

Notable examples include acting for accountants in long - running litigation arising out of a failed tax avoidance scheme; acting for the developer and manufacturer of an offshore drilling system following an accident in operation; representing one of the Defendants in Novoship v Mikhaylyuk & Others, concerning allegations of bribery and secret profits; appearing in a substantial LCIA arbitration about the theft of oil stocks in East Africa;, successfully representing a broker in litigation against a former client under a futures brokerage contract in Sucden v Fluxo - Cane [2010] 2 CLC 216; and The «Ekha» [2011] 1 All ER Comm 1077, long - running litigation in the Commercial Court and Court of Appeal about an offshore drilling contract.

His diverse experience also includes: directors» and officers» liability coverage and litigation; cyberinsurance coverage; ERISA litigation; commercial arbitration; FINRA arbitration; aviation litigation; fiduciary litigation; claims related to stock purchase agreements; EMTALA investigations; and defending errors and omissions claims against insurance agents and brokers.

Fraud, embezzlement, insider trading, computer crime, and other cases typically involve the U.S. Department of Justice, the Securities Exchange Commission (SEC) and Internal Revenue Service (IRS) enforcement divisions, investigations against professionals such as CPAs, attorneys, stock brokers, corporate officers, corporate board members, and entrepreneurs.

His financial services experience and knowledge of financial regulation from the FCA (and before that the FSA) as well as the Stock Exchange and City Code have led to his involvement in numerous claims against IFAs and stock broStock Exchange and City Code have led to his involvement in numerous claims against IFAs and stock brostock brokers.

Representation of securities brokerage firms in disputes with financial advisors, including a complete defense award against former broker challenging stock forfeiture provisions in an incentive compensation plan.

He specialises in large claims against directors, banks, corporate trustees, Lloyd's brokers, financial advisers, fund managers, stock brokers, accountants and corporate services providers.

remember travel agents, stock brokers and now the internet / wireless service and lets not forget the rapidly growing health food restaurants competing up against the fat fast food chains....