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6 Dec 2018, 5:48 pm
The Attorneys General of 42 states and the District of Columbia (collectively, the States) have entered into an Assurance of Voluntary Compliance/Assurance of Discontinuance (Agreement) with Encore Capital Group, Inc. and its subsidiaries, Midland Funding, LLC and Midland Credit Management, Inc., (collectively, Midland) to settle allegations relating to Midland’s debt collection practices. [read post]
16 Oct 2013, 7:31 am
The White Law Group is specifically investigating the following UBS Puerto Rico fund investments (among others): UBS Puerto Rico Fixed Income Fund I, Inc. [read post]
23 Jan 2018, 7:23 am
On Monday, MacKenzie Realty Capital, Inc. extended a tender off for GTJ REIT of $6.50 per Share. [read post]
16 Nov 2015, 10:11 am
(Mosaic), and Weiss Capital Real Estate Group, LLC (Weiss Capital) recommended their clients invest $40 million in illiquid securities issued by hedge fund FEP Fund I, LP (FEP Fund I) and the Catamaran Holding Fund, Ltd. [read post]
2 Jul 2014, 2:52 am
CousinsJonathan Kohanof, 31, Los Angeles, CA, started working in the securities industry in 2006 as an analyst in the financial restructuring group of FINRA member firm Houlihan Lokey Capital, Inc.; and by July 2009, he had been promoted to an associate's position, which included managing analysts and working directly with clients, who were for the most part hedge funds an... [read post]
4 Dec 2020, 6:16 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5579/securities-industry-commentator/GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill (SEC Release)Justice Department Announces Additional Distribution of more than $488 Million to… [read post]
2 Jun 2010, 5:23 pm
The following are various hedge fund events happening this month. [read post]
2 Oct 2019, 6:13 am
Comprehensive Capital Management Inc. [read post]
11 Jan 2021, 9:17 am
Triad Advisors and its Ex-Florida-Based Broker Placed Claimants Funds In Too Risky GPB Capital & REIT Investments Two Utah retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Triad Advisors, Inc. over losses they suffered from investing in GPB private placements and privately traded real estate investment trusts (REITs), including American Realty Capital Trust. [read post]
14 Mar 2018, 11:41 am
Healthcare Trust Inc. [read post]
11 Feb 2021, 2:42 pm
IP assets Other important considerations/lessons learnedPanel:Michael Gulliford, Founder/Managing Principal, Soryn IP Capital Management, LLCPhil Hartstein, President and CEO, Finjan Holdings, Inc.Jeremy Pitcock, Founder, The Pitcock Law GroupRon Vaisbort, General Counsel & Corporate Secretary, IvaluaModerator: Dave Stevens, Stevens Law Group Panel Bios:Michael Gulliford, Founder/Managing Principal, Soryn IP Capital Management, LLCMichael is the Founder of… [read post]
4 Apr 2013, 9:00 am
Resources Planning Group Inc. [read post]
6 Sep 2022, 9:07 am
FINRA Censures and Fines Sanctuary Securities Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on September 2, 2022, the regulator censured and fined Sanctuary Securities Inc. [read post]
20 Dec 2013, 10:06 am
[The Board sustained this opposition to registration of STONE LION CAPITAL for "financial services, namely, investment advisory services, management of investment funds, and fund investment services" [CAPITAL disclaimed], finding the mark likely to cause confusion with the registered marks LION and LION CAPITAL for various financial services [CAPITAL disclaimed]].StonCor Group, Inc. v. [read post]
8 May 2018, 10:54 am
Hospitality Investors Trust Inc. was formerly known as American Realty Capital Hospitality Trust Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
25 Apr 2017, 8:58 am
Carey Inc. [read post]
14 Feb 2017, 12:59 pm
(AFIN) and American Realty Capital – Retail Centers of America, Inc. [read post]
24 Mar 2022, 7:47 am
(CRD#:30833) and Trustmont Financial Group, Inc. [read post]
22 Jan 2021, 11:43 am
His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc. [read post]
