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28 Jun 2010, 2:40 am
Registration Required for Hedge Funds The House and Senate Conference Committee on Friday finished reconciling the two versions of the financial reform bill (please see our overview of the financial reform bill). [read post]
18 Nov 2011, 12:02 pm
The IMH Secured Loan Fund, LLC changed its name to IMH Financial Corporation in 2010. [read post]
13 Mar 2018, 3:56 am
The post Financial Wellness: Employers Enhance DC Retirement Plans to Improve Employees’ Financial Security appeared first on HR Daily Advisor. [read post]
13 Mar 2018, 3:56 am
The post Financial Wellness: Employers Enhance DC Retirement Plans to Improve Employees’ Financial Security appeared first on HR Daily Advisor. [read post]
18 Mar 2021, 10:36 am
Ignore These 4 Funds And You’ll Miss An 8.8% Dividend In 2021 If you’re like most investors, you’re tired of having the following two pieces of “wisdom” pounded into your head by the financial media. https://www.forbes.com/sites/michaelfoster/2021/01/16/ignore-these-4-funds-and-youll-miss-an-88-dividend-in-2021/----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer [read post]
16 Nov 2018, 4:00 am
The post Center Street Securities Broker and Lion’s Share Financial Are Accused of Defrauding Senior Retirees and Investors with Disabilities appeared first on Securities Fraud Attorney. [read post]
1 Nov 2011, 4:09 pm
Eschewing a race to the bottom as far as global financial regulatory reform is concerned, Securities and Futures Commission CEO Ashley Alder, said that Hong Kong is committed to implementing the key G-20 recommended financial regulatory reforms in a robust manner. [read post]
10 May 2024, 2:06 pm
FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to self-directed retail clients, has agreed to a $1.1 million penalty to resolve charges from the Financial Industry Regulatory Authority (FINRA). [read post]
14 Oct 2019, 3:00 am
It’s core thesis advocates that investors need only three funds to meet long-term financial goals. [read post]
23 Apr 2019, 2:14 pm
Recently, The Financial Industry Regulatory Authority (FINRA) brought a case against Shopoff Securities, Inc., William Shopoff, and Stephen Shopoff. [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
16 Dec 2009, 2:09 am
The 17-count indictment includes charges of conspiracy and securities fraud for their alleged role in the largest hedge fund [read post]
20 May 2019, 6:06 am
High, formerly registered with First Financial Equity Corporation (First Financial) and operating out of Scottsdale, Arizona, has been accused by a customer of engaging in securities fraud and misappropriating funds. [read post]
29 Jun 2005, 4:25 pm
[JURIST] Leading Wednesday's corporations and securities law news, on the day before SEC Chairman William Donaldson [Wikipedia profile] steps down, the Commission has voted 3-2 to keep a rule forcing mutual funds to be overseen by an independent chairman. [read post]
27 Mar 2013, 1:12 am
In its press release about the proceeding, the agency claims that the funds “fraudulently overstated the valuation of their securities as the housing market was on the brink of financial crisis in 2007. [read post]
8 Nov 2022, 8:08 pm
In 2020, TCA Fund Management Group Corp. and key executives were accused of securities fraud, including allegedly fraudulently inflating the net asset values and performance outcomes of a number of its funds. [read post]
28 Feb 2016, 6:37 am
The post Asking for More Money for Social Security Disability Fund appeared first on Massachusetts Social Security Disability Lawyers Blog. [read post]
15 Mar 2018, 7:16 am
” The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), sponsored by Senate Banking Committee Chairman Mike Crapo (R-Idaho), also contains provisions dealing with algorithmic trading in securities markets, the financial exploitation of seniors, cybersecurity, and hedge fund names. [read post]
24 May 2013, 11:53 am
Managed Funds Association and the London-based Alternative Investment Funds Association explained that an investment manager, a distinct legal entity, is a fiduciary responsible for implementing a hedge fund’s investment strategy and trading securities on a fund’s behalf. [read post]
24 May 2011, 1:59 am
When the financial crisis hit, these Funds later lost a substantial part of their net asset value. [read post]
