Alva (Al) Herd, 91, a major Southern California automobile dealer and real estate broker. Born in Glenwood Springs, Colo., Herd moved alone to Oakland when he was 13. He gravitated to Los Angeles in 1921 and a decade later opened a car dealership at Sunset Boulevard and La Brea Avenue....
Early efforts include initiatives relating to anti-money laundering regulations and recidivist brokerage firms that shelter rogue brokers and/or engage in abusive activities.28 The spike in cases against broker-dealer firms in fiscal year 2014 may be coincidental, but it could very well be the ...