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27 Aug 2018, 3:41 pm
Like the US federal funds rate, LIBOR is a variable financial market index. [read post]
26 Aug 2018, 1:57 pm
The IMO decision and a similar decision in In re Allscripts Software, LLC, Appeal 2018-1451 (Fed. [read post]
23 Aug 2018, 5:56 pm
LLC settled with the regulator in May. [read post]
20 Aug 2018, 10:14 am
The decision involved a venture capital hedge fund, Domain Associates, LLC. [read post]
16 Aug 2018, 5:48 pm
ETF Fraud Lawsuit Seek Damages from Elkhorn Capital Group Founder Keystone Associates LLC and Mountain Partners LLC, two companies based in Utah, are now suing ex-Elkhorn Capital Group CEO and founder Benjamin Fulton for fraud. [read post]
20 Jul 2018, 11:29 am
The plaintiff was a resident of Nebraska, and the nursing home was a North Dakota corporation with its principal place of business in South Dakota. [read post]
20 Jul 2018, 11:29 am
The plaintiff was a resident of Nebraska, and the nursing home was a North Dakota corporation with its principal place of business in South Dakota. [read post]
19 Jul 2018, 6:39 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
8 Jul 2018, 7:41 am
The SEC also alleged that Adams paid early investors with later investors’ funds and convinced other investors to roll over their investments and remain invested in the scheme. [read post]
24 Jun 2018, 5:05 am
The law offices of Gana Weinstein LLP are investigating the Massachusetts Securities Division’s enforcement action and administrative complaint against ARO Equity, LLC (ARO Equity), Thomas David Renison (Renison), and Timothy James Allcott (Allcott). [read post]
22 Jun 2018, 6:55 am
Schneiderman, Attorney General for the State of New York, Plaintiffs, against RD Legal Funding, LLC, LRD Legal Finance, LLC; RD Legal Funding Partners, LP; and Roni DersovitzOpinion & Order dated June 21, 2018 by Loretta A. [read post]
21 Jun 2018, 6:55 am
In addition, the firm had no WSPs, and failed to provide guidance or training to registered representatives and principals regarding the sale of long-term income riders with multi-share class variable annuities, particularly the combination of L-share contracts with long-term income riders. [read post]
19 Jun 2018, 3:57 pm
LVNV Funding, LLC, No. 2:12-CV-523-TLS, 2017 WL 6406594, at *4 (N.D. [read post]
18 Jun 2018, 5:27 pm
"In the "Conclusion" section, the Smiths stated: "When the Court takes into account the Statutes and Case Law and applies them to the facts of this case . . . it is clear why it is necessary for agency authorization from the principal [to] be proved by any mortgage servicer, lawyer, employee or assignee. [read post]
3 Jun 2018, 2:18 pm
According to the regulator, Bitstrade, which claims to take customers’ Bitcoin and invest the funds in the stock market, had been offering the equivalent of securities, but had not registered with the New Jersey government. [read post]
29 May 2018, 3:42 am
The Mediation shall take place in the principal office and shall be in English. [read post]
28 May 2018, 10:13 am
According to the SEC, instead of investing these seniors’ money as promised (much of which came out of the victims’ retirement savings), Lifepay Group, LLC used later investors’ funds to pay supposed “high returns” to earlier investors. [read post]
11 May 2018, 7:22 am
But Miller’s supposed investment fund did not exist. [read post]
7 May 2018, 10:25 pm
at ¶ 16)In 2014, the owners of the beneficial interests in the Trusts were an affiliate of Citibank named SL Resid Holdings, LLC ("Citibank';) and NC Owners, LLC ("NC Owners") (collectively, the "Owners"). [read post]
5 May 2018, 6:00 am
– En ese mismo año (2014), Franklin Funds y Oppenheimer y Blue Mountain Capital Management LLC, instaron un pleito en el Tribunal Federal para el Distrito de Puerto Rico, impugnando la validez constitucional de dicha ley. [read post]
