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23 Jun 2022, 1:17 pm
They also help high-net-worth individuals invest their funds., Because of this, they gather sensitive and valuable financial information about the corporations they serve. [read post]
2 Sep 2022, 9:24 am
Morgan Financial Advisors, LLC and its principal and former Chief Compliance Officer allegedly violated federal securities laws. [read post]
18 Feb 2021, 7:55 am
FINRA has fined Network 1 Financial Securities Inc. [read post]
24 May 2012, 9:06 am
The news about Social Security's financial health is getting worse and calls for lawmakers in D.C. to take action are growing louder. [read post]
10 Jan 2007, 5:47 am
Officials from the Securities and Exchange Commission, Britain’s Financial Services Authority, the New York Federal Reserve and several European agencies met [...] [read post]
22 Dec 2009, 6:29 am
[JURIST] Galleon Group [partnership website] hedge fund founder Raj Rajaratnam [Financial Times profile] and former hedge fund consultant Danielle Chiesi pleaded not guilty Monday to insider trading charges. [read post]
7 Feb 2022, 5:25 am
SEC Chair Gary Gensler issued a statement before the Financial Stability Oversight Council on financial resiliency of capital markets with regard to money market funds, open-end bond funds, and hedge funds. [read post]
1 May 2019, 12:42 pm
If you have suffered losses investing in Cypress Income Fund 11 at the recommendation of your financial advisor, please contact The White Law Group at 888-637-5510 for a free consultation with a securities attorney. [read post]
4 Sep 2023, 6:54 am
Once adopted, several new provisions will serve to enhance the regulatory and supervisory framework for investment funds from a financial stability perspective. [read post]
10 Jun 2011, 9:35 am
Steven Kobayashi, a former UBS Financial Services Advisor in Walnut Creek, California, has agreed to serve over 5 years in prison for securities fraud. [read post]
9 Jul 2021, 9:58 am
Giovino converted customer funds. [read post]
22 Sep 2015, 9:00 am
Funds will be required to determine “minimal credit risk” by using credit analysis factors related to the ability of the security’s issuer/guarantor/demand-feature provider to meet its financial obligations. [read post]
27 Sep 2016, 2:44 pm
Lin William Cong and Douglas Xu have posted Rise of Factor Investing: Asset Prices, Informational Efficiency, and Security Design on SSRN with the following abstract: We model financial innovations such as Exchange-Traded Funds (ETFs), smart beta products, and many index-based... [read post]
10 Apr 2014, 6:22 am
Improving fund governance is vital to investor protection and maintaining the integrity of our financial markets. [read post]
15 Jan 2010, 1:15 pm
The SEC has charged two Sarasota, Florida-based investment advisers with securities fraud for misleading investors about the financial condition of three hedge funds they managed, and misrepresenting that they controlled the funds' investment and trading activities when in fact they were being handled by Arthur G. [read post]
17 Jan 2023, 12:57 pm
Instead, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) promulgated joint reporting requirements specifically for advisers of hedge funds and other private funds. [read post]
23 Aug 2012, 3:34 am
Attempts to make broad changes to a popular type of money market mutual fund that played a central role in the 2008 financial crisis have been derailed, after a Democratic member of the Securities and Exchange Commission sided with the two Republican members to delay action. [read post]
11 May 2010, 4:22 am
Senator Jack Reed filed an amendment to the financial reform bill Monday that would require all hedge funds, private equity shops and venture capital firms to register with either a state regulator or the Securities and Exchange Commission, according to press reports. [read post]
3 Mar 2011, 9:14 am
Today, the Securities and Exchange Commission (SEC) filed securities fraud charges against Steven K. [read post]
2 Nov 2017, 10:17 am
Recovering Investment Losses in HMS Income Fund Did you lose money investing in HMS Income Fund at the recommendation of your financial advisor? [read post]
