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8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
31 Oct 2023, 9:05 pm
A $4.69 billion verdict awarded in a 2020 case accelerated this trend.[4] The principal Johnson & Johnson subsidiary producing baby powder, Johnson & Johnson Consumer Inc. [read post]
22 Oct 2023, 11:03 pm
The gallery’s principal, Lawrence Salander, was indicted and pleaded guilty to fraud and larceny charges.[5] Gallery Director, Leigh Morse, was convicted on April 6, 2011 of defrauding artists’ estates.[6] The gallery itself, however, was not charged with co-mingling or misuse of funds belonging to artists, their heirs, or est [read post]
17 Oct 2023, 7:25 am
But the company is now in liquidation, leaving investors unable to access their funds. [read post]
13 Oct 2023, 3:07 pm
” Further Reading: Victory Automotive Group Inc. [read post]
11 Oct 2023, 11:10 am
Florida-based automotive management company Victory Automotive Group Inc. [read post]
11 Oct 2023, 8:10 am
The government alleges that Cardiac Imaging Inc. [read post]
11 Oct 2023, 6:54 am
Cardiac Imaging Inc., et al., No. 18-cv-2674 (S.D. [read post]
4 Oct 2023, 7:54 am
Arthrex, Inc., 141 S. [read post]
15 Sep 2023, 2:02 pm
“We will hold accountable those who misuse taxpayer funds for their own self-enrichment. [read post]
8 Sep 2023, 12:51 pm
Zima eventually collapsed in January 2020 when its principals were arrested and charged with federal crimes, resulting in losses exceeding $610,000 for six of Hoffman’s clients. [read post]
5 Sep 2023, 9:05 pm
”[22] Now what does all this have to do with what might seem an ordinary case of federal securities law, raising what might seem a less foundational question of whether hedge fund managers have a right to a jury trial in federal court rather than having their securities fraud cases heard by an ALJ? [read post]
5 Sep 2023, 4:21 am
Plaintiff alleges that TJM loaned funds to a company, secured by three parcels of vacant Texas land. [read post]
1 Sep 2023, 6:07 am
Inc. [read post]
25 Aug 2023, 11:47 am
Woodbury Financial Services, Inc. [read post]
21 Aug 2023, 4:34 am
This can lead to the beneficiary or principal treating the fiduciary relationship as terminated and seeking legal remedies for the breach of fiduciary duty. [read post]
1 Aug 2023, 4:27 pm
The idea that investors might choose to consider certain environmental, social, and governance factors when deciding whether to buy shares of a company—a concept commonly known as ESG—continues to gain popularity with trillions of dollars currently held in investment funds that take into account ESG principles. [read post]
1 Aug 2023, 10:02 am
Paying to induce referrals for services that are covered by any federally funded healthcare program violates the Anti-Kickback Statute. [read post]
28 Jul 2023, 1:02 pm
” In total, investors in the Ponzi scheme were owed over $110,000,000 in principal. [read post]
