Search for: "Security Connections, Inc."
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22 May 2012, 11:02 am
On May 15, 2012, the Ninth Circuit Court of Appeals affirmed the decision of the district court finding in favor of the Securities Exchange Commission (“SEC”) on allegations that Carl Jasper, the former Chief Financial Officer of Maxim Integrated Products, Inc., violated various provisions of the securities laws in connection with the company’s stock options backdating scheme. [read post]
10 Sep 2020, 11:24 am
Geoffrey Thompson Settled A Previous SEC Lawsuit Just Months Earlier As noted in the SEC’s Complaint, in April 2020, Geoffrey Thompson paid more than $500,000 to settle SEC claims of securities fraud and registration violations in connection with a previous fraudulent business venture, Accelera Innovations, Inc. [read post]
3 Jul 2011, 12:13 am
The panels are connected to a circuit breaker board, which feeds a power controller. [read post]
28 May 2013, 5:35 am
In the Matter of the FINRA Arbitration Between Wedbush Securities Inc., Claimant/Counter-Respondent, vs. [read post]
19 Apr 2018, 12:00 am
Section 10(b) and Rule 10b-5 of the Exchange Act prohibit any misstatements or omissions of material fact in connection with the sale or purchase of a security. [read post]
30 Mar 2021, 1:02 pm
FINRA sanctions American Independent Securities Group for Supervisory Issues The White Law Group is investigating potential securities claims involving American Independent Securities Group, Inc. [read post]
11 Nov 2020, 7:09 am
Financial Advisor Sam Aziz, Coastal Equities Inc. [read post]
11 May 2009, 9:24 am
The Securities and Exchange Commission has charged attorneys for fraudulent legal opinions used by promoters in Pump-and-Dump scheme: The SEC alleges that attorneys Albert Rasch, Jr. and Kathleen Novinger together with Sandra Masino and her company 144 Opinions, Inc. drafted and executed at least 24 legal opinion letters that fraudulently induced the removal of restrictive legends on unregistered shares of Mobile Ready Entertainment Corp. [read post]
1 Jun 2020, 9:43 am
Before Securities America, Westenbarger was registered with First Allied Securities, Inc. [read post]
25 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker William (Bill) Tatro, formerly registered with First Allied Securities, Inc. [read post]
25 Jul 2012, 9:51 am
In Analytical Surveys, Inc. v. [read post]
3 May 2020, 10:03 am
In June 2018, a customer alleged breach of fiduciary duty, violation of state securities law, fraud, breach of contract, negligence, negligent misrepresentation, and negligent supervision in connection with the maintenance of their account resulting damages of $250,000.00. [read post]
7 Nov 2009, 2:48 pm
Merrill Lynch & Co., Inc., 2009 WL 2242605).I believe Sotheby's own motion for summary judgment is still pending.More Minor legal news here. [read post]
10 Apr 2009, 2:51 pm
The SEC filed a civil action on April 8, 2009, against Crossroads Financial Planning, Inc., and Julie M. [read post]
10 Apr 2009, 2:46 pm
Roberts, the former General Counsel of McAfee Inc. in connection with allegations of backdating stock options. [read post]
29 Jun 2010, 1:47 pm
LLC $11,600,000 - Jesup andamp; Lamont Securities Corp. $100,000 $13,500 Kaiser andamp; Co. $100,000 $160,650 Lighthouse Capital Corp. $250,000 $33,750 Main Street Securities LLC $205,000 $45,450 Matheson Securities LLC $100,000 $37,800 Milkie Ferguson Investments Inc. $4,145,000 $480,350 Morrow Wealth Management $30,000 - National Securities Corp. $3,665,000 $437,250 Newbridge Securities Corp. $25,000 $15,750 NEXT Financial… [read post]
18 Dec 2007, 5:10 pm
JP Morgan Securities Inc. says it will pay $500,000 to settle charges that it failed to disclose to regulators that it used and paid consultants to acquire a number of municipal securities offerings. [read post]
21 Mar 2019, 6:21 am
Securities and Exchange Commission, and is set to answer the question of whether a securities fraud claim premised on a false statement that was not “made” by the defendant can be pursued as a “fraudulent scheme” claim even though it would not be actionable as a Rule 10b-5(b) claim under Janus Capital Group, Inc. v. [read post]
18 Feb 2020, 2:08 am
The White Law Group is investigating potential securities fraud claims involving the liability that financial advisors or broker-dealers may have for improperly recommending the following EquiAlt private placement offerings: EquiAlt Fund II, LLC EquiAlt Fund, LLC EquiAlt Fund III EA SIP LLC EquiAlt Qualified Opportunity Zone Fund, LP EquiAlt Secured Income Portfolio REIT, Inc. [read post]
18 Aug 2016, 11:52 am
Robert Pena, 67, the president and founder of the now-defunct mortgage company, Mortgage Security, Inc. [read post]
