Search for: "Private Money Exchange, LLC"
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30 Jul 2018, 2:22 pm
A real estate syndicate is a way to finance a project or development through private investors. [read post]
15 Apr 2016, 9:21 am
The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds.The SEC alleges that James Catipay and David Aldrich raised $11.7 million from approximately 250 investors during the past three years for their… [read post]
21 Apr 2022, 9:19 am
On April 20, 2022 GWG Holdings Inc. and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
29 Oct 2014, 10:11 am
On October 29, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative enforcement action against an investment advisory firm and three top officials for violating rule 206(4)-2 under the Investment Advisers Act of 1940 (“Advisers Act”), the “custody rule,” that requires firms to follow certain procedures when they control or have (or are deemed to have) access to client money or securities. [read post]
26 Sep 2012, 7:34 pm
Per court documents, between April 2005 and November 2006, the two men, along with two co-conspirators, were partners in KMFG International LLC, which is a hedge fund. [read post]
17 Jul 2019, 8:17 am
Energy Development Corp raised money from investors through Regulation D private placement offerings. [read post]
6 Feb 2018, 12:00 am
The statements related to permits are not actionable under the provisions of the Exchange Act relied upon by the Plaintiff. [read post]
22 Dec 2018, 8:23 am
Apparently, even after he received an SEC subpoena Kelly continued to just steal money from investors. [read post]
12 Jun 2023, 2:08 pm
Smith instead allegedly used the money to purchase mutual fund shares for a family member of Smith. [read post]
4 Jun 2014, 6:38 am
The Securities and Exchange Commission alleges that Scott Valente and his firm The ELIV Group LLC fraudulently raised more than $8.8 million from 80 clients by falsely claiming they achieve consistent and outsized positive returns coupled with misrepresentations about the safety of the investments. [read post]
3 Sep 2015, 7:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned five brokers formerly associated with now expelled brokerage firm HFP Capital Markets LLC (HFP Capital) (Case No. 2010024522103) including brokers Jonah Engler (Engler), Brett Friedberg (Friedberg), Jonathan Sheklow (Sheklow), Joshua Turney (Turney), and Hector Perez (a/k/a Bruce Johnson) (Perez) concerning allegations that between December 2009, and February 2011, the five brokers fraudulently sold a total of nearly $3 million… [read post]
29 Jun 2020, 6:35 am
Barth also engages in other businesses including Kaufmann Building LLC, BAB Properties LLC, and Kearney Hub among other business related disclosures. [read post]
16 Jun 2022, 12:59 pm
Investors lost money. [read post]
21 Mar 2011, 12:34 pm
Just as the SPAC market was shutting in 2008, the New York Stock Exchange (NYSE) and NASDAQ proposed rule changes to allow SPACs on those exchanges. [read post]
24 Nov 2023, 11:23 am
Specifically, corruption involves public or private officials accepting money or favors in exchange for benefits, while bribery is the act of offering or providing the incentive to commit corruption. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
26 Jul 2018, 11:41 am
The Securities and Exchange Commission (SEC) filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
25 Apr 2021, 2:00 pm
Yes, it’s hard to tell your investors that you lost some of their money. [read post]
24 Apr 2019, 12:40 pm
Instead, they were sent a private placement memoranda that made it seem that “only 10% of investor proceeds” would go to commissions. [read post]
25 Dec 2011, 11:01 am
The Commission says he used investors’ money to pay for private jets, a number of homes, and exotic motor vehicles. [read post]
