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J.P. Morgan Settles with SEC for $18 Million 
16 Jan 2024, 9:08 am by The White Law Group
  Securities Fraud Attorneys        If you are concerned about your investments with J.P. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Top Regulatory News of 2023
28 Dec 2023, 9:05 pm by Noah Brown
Department of Labor rule allowing pension managers to consider environmental, social, and corporate governance factors when making investment decisions. [read post]
RegBlog - https://www.theregreview.org/
What to Know about Limited Liability As You Grow Your Business
27 Dec 2023, 3:54 am by Cari Rincker
But the LLC has only been around since 1977. [read post]
Food, Farm & Family Law Blog - https://rinckerlaw.com/blog
J.C. Flowers completes $125M equity investment in Baltimore’s Capital Funding Bancorp
20 Dec 2023, 9:27 am by Daily Record Staff
LLC closed its investment with Capital Funding Bancorp, Inc., the holding company for Baltimore-based CFG Bank. [read post]
On the Record - http://thedailyrecord.com/ontherecord/
More Than Just “Inventory”: Some Professional Responsibility Implications of Third Party Patent Assertion Entity Funding
13 Dec 2023, 8:41 am by Jordan Duenckel
Salmon, 249 N.Y. 458, 464 (N.Y. 1928) (Cardozo, J.)) [read post]
Patently-O - https://patentlyo.com
Misclassification Lawsuit Filed by NJ Attorney General
13 Dec 2023, 2:58 am by Jon L. Gelman
Attorney General Matthew J. [read post]
Workers' Compensation - http://workers-compensation.blogspot.com/
The Current Securities Landscape of Cryptocurrencies and NFTs
30 Nov 2023, 9:05 pm by renholding
This post comes to us from Professor Christa J. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
A Cross-State Real Estate Legal Malpractice Case Survives
29 Nov 2023, 4:02 am by Andrew Lavoott Bluestone
McDonald, J.), entered April 21, 2021. [read post]
New York Attorney Malpractice Blog - http://blog.bluestonelawfirm.com/
Scott Silver, Esq. Highlights Risk Of FINRA’s After The Fact Fines
21 Nov 2023, 2:26 pm by Silver Law Group
Last month, FINRA suspended broker Arni J. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Investors with questions about claims about non-conventional investments or concerns that they may have invested in a fraudulent scheme may contact Law Office of Christopher J. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
9 Nov 2023, 9:01 pm by renholding
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
AML on Fractionalized Art Market: Compliance Questions of Digitized (Physical) Work of Art
1 Nov 2023, 11:41 am by Filip Radzikowski
Freeport, like Masterworks, do not tokenize the objects themselves; Rather, they set up series LLC who acquires an artwork, via affiliated Freeport Curation LLC, which then becomes the series LLC’s primary asset and subject to investment under Tier 2 Regulation A of the Securities Act.[16] The tokens registered on the blockchain are just a corresponding visual representation of the ownership interest to a particular series, not conferring any rights that the… [read post]
Center for Art Law Blog - http://itsartlaw.com
Bad Things Can Happen When You Steal a Business from a Minority Co-Owner
29 Oct 2023, 6:15 pm by Franklin C. McRoberts
Salvatore J. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Julie Darrah Allegedly Defrauded Elderly Advisory Clients
26 Oct 2023, 12:50 pm by The White Law Group
Additionally, the SEC complaint names a relief defendant, PC&J, a firm in Orcutt, California, of which Darrah owns 33.4%. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Enforcement Chief Speaks on Corporate Compliance
24 Oct 2023, 9:01 pm by renholding
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Cole-Frieman & Mallon 2023 Q3 Update
20 Oct 2023, 2:40 pm by CFM Admin
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
Hedge Fund Law Blog - http://www.hedgefundlawblog.com
Dividend Recaps: Potential Risks for Private Equity Firms and Their Insurers
9 Oct 2023, 2:34 pm by Kevin LaCroix
J. [read post]
The D & O Diary - http://www.dandodiary.com/
Broker Anthony Pitta Investor Alert: Investment Lawyers Investigating Potential Compensation Claims
28 Sep 2023, 1:51 pm by Alan Rosca
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
Investor Lawyers GSP - https://investorlawyers.org/investigations/
Broker Anthony Pitta Investor Alert: Investment Lawyers Investigating Potential Compensation Claims
28 Sep 2023, 1:51 pm by Alan Rosca
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
Broker Anthony Pitta Investor Alert: Investment Lawyers Investigating Potential Compensation Claims
28 Sep 2023, 1:51 pm by Alan Rosca
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
Investor Lawyers News - https://investorlawyers.org/