Search for: "Security Funding Inc"
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6 Mar 2014, 4:49 am
Johnson Fund, Inc. [read post]
11 Jun 2012, 10:17 am
Connecticut Retirement Plans & Trust Funds (No. 11-1085), a case about class certification standards for certain securities claims. [read post]
22 May 2012, 4:10 pm
Inc. and a former mutual fund manager at a subsidiary of Ameriprise Financial Inc. with insider trading on confidential information about a search engine partnership between Yahoo and Microsoft Corporation. [read post]
24 Feb 2004, 2:46 pm
In Tuesday's corporations and securities law news, New York Attorney General Eliot Spitzer and the SEC have filed suit in federal court in Boston against FleetBoston Financial Corp.'s two mutual fund subsidiaries - Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. [read post]
3 Feb 2011, 1:01 pm
The SEC charged TD Ameritrade Inc. for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that "broke the buck" in September 2008. [read post]
22 Jul 2010, 10:00 am
FINRA has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. [read post]
17 Aug 2011, 5:00 am
John Fund, Inc. v. [read post]
12 Jun 2012, 7:14 am
The Securities and Exchange Commission today charged investment management company OppenheimerFunds Inc. and its sales and distribution arm with making misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late 2008. [read post]
12 Jun 2012, 7:14 am
The Securities and Exchange Commission today charged investment management company OppenheimerFunds Inc. and its sales and distribution arm with making misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late 2008. [read post]
19 May 2005, 3:09 pm
Galleon Management LP, Oaktree Capital Management LLC and DB Investment Managers Inc. were alleged by the US Securities and Exchange Commission [official website] to have violated Rule 105 [text], an anti-manipulation rule that the SEC [read post]
23 Jun 2014, 9:15 pm
John Fund here. [read post]
5 May 2009, 11:55 am
On May 5, 2009, the SEC filed a civil action in the United States District Court for the Southern District of New York charging the entities and individuals who operate The Reserve Primary Fund, including the Reserve Management Company, Inc.... [read post]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
23 Dec 2011, 8:57 am
Securities and Exchange Commission, the U.S. [read post]
6 Jun 2011, 10:51 am
John Fund v. [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
11 Feb 2019, 11:00 am
The US Securities and Exchange Commission has filed civil charges against Statim Holdings, Inc. and its owner Atlanta investment adviser, Joseph A. [read post]
1 Jun 2020, 7:55 am
Previous employers include Suntrust Investment Services, Inc. [read post]
2 Mar 2018, 1:54 pm
FINRA found that Perry over concentrated the customers’ accounts in precious metal sector securities, and that he recommended that the customers purchase and hold leveraged mutual funds and/or Exchange Traded Funds (ETFs) in their accounts for extended time periods of up to 963 days, which was unsuitable for his customers. [read post]
17 Jun 2013, 6:00 am
The proceeding, which began in December 2012, alleged that the directors failed to satisfy their pricing responsibilities under the federal securities laws.Under the securities laws, fund directors are responsible for determining the fair value of portfolio securities for which market quotations are not readily available. [read post]
