Search for: "American Investment Exchange, LLC"
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3 Oct 2011, 8:37 am
On Sept. 23, both the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association issued an investor alert warning about investing through self-directed IRAs. [read post]
16 Dec 2020, 9:49 am
Also exempt from the bill's requirements are investment companies, investment advisers, broker-dealers, registered exchanges and clearing agencies, and registered entities under the Commodity Exchange Act. [read post]
6 Apr 2009, 10:48 pm
DonmoyerDec. 17 (Bloomberg) -- Former President Bill Clinton's decision to reconsider a business relationship with California billionaire Ron Burkle reflects concern those financial dealings may embarrass his wife's presidential candidacy.Securities and Exchange Commission documents and financial- disclosure forms filed by Hillary Clinton show that Bill Clinton, 61, has a financial stake in three investment entities registered in the Cayman Islands by Burkle's… [read post]
18 Dec 2018, 8:45 am
That’s when many Chinese companies went public on U.S. stock exchanges by merging with American shell companies in a process called “reverse mergers. [read post]
26 Aug 2010, 3:04 pm
Chris Carey, editor of Sharesleuth, does not invest in individual stocks and has no position in Houston American's shares.) [read post]
9 Oct 2020, 7:54 am
Under the SROs’ proposal, the plan would replace the three existing plans: (1) Consolidated Tape Association Plan; (2) Consolidated Quotation Plan; and (3) Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis.The equity exchanges filing the plan along with FINRA are Cboe BYX Exchange, Cboe BZX… [read post]
6 Aug 2010, 12:12 pm
• Foreign Exchange Trading Schemes. [read post]
9 Nov 2022, 8:30 am
SPAC G&P Acquisition Corp (GAPA) Delisted for “Abnormally Low” price levels According to Investment News on Nov. 8, G&P Acquisition Corp., leisure-oriented business backed by former American Realty Capital REIT founder Nicholas Schorsch, reportedly failed to list its shares on the NY Stock exchange. [read post]
8 Mar 2012, 11:42 am
Defendant American Master Lease LLC ("AML") appealed the decision of Judge Guilford of the Central District of California holding that all claims of U.S. [read post]
17 Dec 2018, 1:18 pm
The developers are American Modern Green Senior, LLC, American Modern Green Residential, LLC, and American Modern Green Community. [read post]
16 Feb 2012, 7:56 am
” These companies include REIT Secondary Exchange, American Partnership Board, and Second Market. [read post]
17 May 2013, 10:56 am
Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLCCase number: 10-cv-6932 (United States District Court for the Northern District of Illinois)Case filed: October 28, 2010Qualifying Judgment/Order: March 29, 2013 5/17/2013 8/15/2013 2013-41 SEC v. [read post]
6 Mar 2011, 7:54 am
The attorneys at Cosgrove Law, LLC have experience with investment adviser registration matters, including annual and as-needed Form ADV updates and reviews. [read post]
Derivative Use by Investment Companies Will be Harder to Oversee in Coming Years, Warns SEC Official
10 May 2011, 10:38 pm
Ervin is the senior adviser to the SEC’s Division of Investment Management director. [read post]
21 May 2019, 2:00 pm
He also is the general partner of Winfield Capital GP LLC, Winfield Capital Partners’ investment manager. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Securities and Exchange Commission (“SEC”) that materially misstated the nature and scope of BLMIS’s Investment Advisory (“IA”) business. [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
29 Oct 2013, 8:57 am
EagleEye Asset Mgmt., LLC, No. 11-11576-WGY (D. [read post]
4 Dec 2015, 5:27 am
(BPZRQ), ERG Intermediate Holdings LLC, American Eagle Energy Corp. [read post]
5 Aug 2010, 3:49 pm
And before investing, always check out your broker on FINRA’s Brokercheck at www.finra.org/Investors, and the Securities and Exchange Commission’s Investment Adviser Public Disclosure web page at www.adviserinfo.sec.gov. [read post]
