Search for: "American Investment Exchange, LLC"
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30 Aug 2013, 8:32 am
From August 2007 through September 2009 Borakowski was a registered representative of American Capital Partners, LLC. [read post]
22 Jan 2016, 5:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
12 Jul 2015, 7:08 pm
Fujigami and Wisteria must disgorge allegedly ill-gotten gains of more than $1.1 million and Fujigami agreed to be barred from the securities industry and from participating in any penny stock offering.The SEC's complaint charges Yang, Lei, Luca International, Luca Resources Group, LLC, and Luca Energy Fund, LLC with violating Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act)… [read post]
26 Jan 2016, 11:26 am
In a press release, the Securities and Exchange Commission (SEC) charged Luca International Group LLC and its CEO with running a $68 million Ponzi-like scheme and affinity fraud. [read post]
27 Feb 2012, 10:59 am
American Master Lease LLC, __ F.3d __ (Fed.Cir. 2012)(Judge Prost joined by Judges Schall and Moore. [read post]
11 Mar 2022, 1:05 pm
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
13 Jul 2012, 6:31 am
American Master Lease LLC, 101 USPQ2d 1785 (Fed. [read post]
21 Mar 2011, 12:34 pm
The first SPACs could not qualify for listing on any U.S. exchange and were often quoted on the OTC Bulletin Board and were made to comply with the onerous rules for “black check” offerings under Rule 419 promulgated under the Securities Act of 1933.[1] In 2005, the American Stock Exchange, now known as NYSE Amex, began allowing SPACs to list under generic listing standards that did not require companies to have operating histories, and most… [read post]
18 Apr 2023, 11:37 am
Florida Broker Marcus Moon Barred after Allegations of Selling Away According to The Securities and Exchange Commission on April 18, 2023, the agency is charging Marcus Moon, of Broward County, FL, with improperly offering investment advisory and brokerage services, allegedly “predominately to African American investors of the Christian faith. [read post]
24 Aug 2018, 6:34 am
In the United States, most investments sold to the public are subject to registration with the Securities and Exchange Commission (SEC). [read post]
15 Sep 2020, 7:52 am
Dain Stokes (CRD: #2960801) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Bedford, NH. [read post]
6 Aug 2018, 8:58 am
Chang, Cosgrove Law Group, LLC. [read post]
4 Feb 2022, 12:33 pm
Safeguard Metals LLC and its principal, Jeffrey Santulan a/k/a Jeffrey Hill were hit with multiple enforcement actions this week, alleging fraud in their sale of securities and commodities to investors they targeted to sell their existing securities and invest the proceeds into gold and silver coins. [read post]
15 May 2019, 3:45 pm
Wasserman, PAA’s president, with fraud and related charges in connection with making material misrepresentations and omissions in American Growth Funding II LLC (AGF II)’s private placement offering. [read post]
7 Jun 2012, 7:42 pm
Since March, three nontraded REITs have listed on exchanges, with more likely to come, each with limited to no success. [read post]
7 Jun 2012, 7:42 pm
Since March, three nontraded REITs have listed on exchanges, with more likely to come, each with limited to no success. [read post]
30 Aug 2010, 2:07 pm
National Underwriter reported that Slate Capital LLC, a unit of American International Group, Inc. [read post]
4 Feb 2016, 7:58 am
The Securities and Exchange Commission today announced the members of its Advisory Committee on Small and Emerging Companies. [read post]
17 Dec 2018, 2:09 am
On average, AmEx has invested $2 billion per year since 2013. [read post]
5 May 2021, 7:23 am
The Securities and Exchange Commission (SEC) has obtained a temporary restraining order and asset freeze against Melbourne, Florida resident Jonathan P. [read post]
