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24 Oct 2023, 9:01 pm
Our ongoing off-channel communications sweep to ensure that regulated entities, including broker-dealers and investment advisers, comply with their recordkeeping requirements is a good example. [read post]
20 Oct 2023, 2:40 pm
The SEC asserted that the Administrator, at the behest of the fund’s sponsor, calculated the fund’s net asset value without including trading losses, resulting in materially overstated values in the investors’ account statements. [read post]
20 Oct 2023, 8:06 am
The Financial Industry Regulatory Authority Inc. [read post]
19 Oct 2023, 9:05 pm
In fact, play promotes well-being; its health impact is formidable.[4] Additionally, some research suggests that a high percentage of adults in the U.S. think that playing games about money, such as Monopoly, helps them learn the basics of finance.[5] Perhaps motivated by such findings, online firm Ally Bank rolled out an “augmented reality” Monopoly game in six U.S. cities during 2019.[6] More recently, in 2022, Truist – the 7th largest U.S. bank[7]… [read post]
16 Oct 2023, 7:08 am
Griffin Realty TrustNorthStar Healthcare Income, Inc.NorthStar Real Estate Income Trust, Inc.Hospitality Investors Trust, Inc.Cole Office & Industrial IIARC Global TrustBusiness Development Corporation of AmericaStrategic Storage Trust, Inc.Adageo Energy PartnersHMS Income Fund It is further alleged that the broker that was involved with the accounts at issue is David Geake (CRD # 3088891). [read post]
6 Oct 2023, 9:00 am
Visa’s Friendly Fraud Rule Change Could Cut $1 Billion From Small Firms’ Chargeback CostsDigital Transactions News – September 29, 2023 Visa Inc. is touting recent changes to how chargebacks that [read post]
5 Oct 2023, 3:58 pm
For example, many investors held accounts with Jacobus through firms like Interactive Brokers LLC (Interactive Brokers) and Charles Schwab & Company, Inc. [read post]
5 Oct 2023, 7:26 am
The attorney has not heard back from the owner, so they assume that they were the intended victim of a scam. 1 Groat Machinery, Inc. 39555 Orchard Hill Place Novi, MI 48375 ATTN: Mr. [read post]
3 Oct 2023, 9:01 pm
August 4, 2023, settled) In the Matter of Canoo, Inc. [read post]
2 Oct 2023, 10:41 am
The fact that only a small shareholding is required makes derivative suits attractive for those seeking to hold large corporations and their directors to account. [read post]
28 Sep 2023, 11:43 am
Dennis Ayre Had Been a Registered Broker Since 2008 According to his Brokercheck, Dennis Ayre most recently was registered as a broker with Hilltop Securities Inc., in Beverly Hills, California, from 2019 to 2020. [read post]
28 Sep 2023, 11:43 am
Dennis Ayre Had Been a Registered Broker Since 2008 According to his Brokercheck, Dennis Ayre most recently was registered as a broker with Hilltop Securities Inc., in Beverly Hills, California, from 2019 to 2020. [read post]
28 Sep 2023, 11:43 am
Dennis Ayre Had Been a Registered Broker Since 2008 According to his Brokercheck, Dennis Ayre most recently was registered as a broker with Hilltop Securities Inc., in Beverly Hills, California, from 2019 to 2020. [read post]
27 Sep 2023, 12:45 pm
CFP Board Discloses Sanctions on Certified Financial Planners The Certified Financial Planner Board of Standards, Inc. [read post]
27 Sep 2023, 7:30 am
CFP Board Discloses CFP Planner Bankruptcies The Certified Financial Planner Board of Standards, Inc. [read post]
11 Sep 2023, 1:58 pm
In fact, health plan breaches account for the largest resolution agreements to date. [read post]
11 Sep 2023, 2:36 am
Cottonwood Communities Inc. [read post]
8 Sep 2023, 12:51 pm
Ameriprise Financial Services Allegedly Overcharges Retirement Customers Ameriprise Failure to Supervise Rep’s Conversion of Funds September 2016 – FINRA fined Ameriprise Financial Services, Inc. $850,000 for its failure to detect and prevent the conversion of over $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
7 Sep 2023, 10:25 am
Beck Inc., Grove Point was acquired by Kestra in 2017 and rebranded in 2021. [read post]
6 Sep 2023, 9:20 pm
This settlement arises from allegations of improper expense reimbursements made to external advisors of Lodging Opportunity Real Estate Investment Trust and Lodging Fund REIT III Inc. [read post]
