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26 May 2020, 2:09 pm
The Securities and Exchange Commission today announced that Ares Management LLC, a Los Angeles-based private equity firm and registered investment adviser, has agreed to pay one million dollars to settle charges that it failed to implement and…Read the Full Press ReleaseHave a securities law question? [read post]
18 Nov 2009, 11:54 am
NASAA today announced another settlement (in principle) with a securities firm over its sales of auction rate securities (ARS). [read post]
23 Oct 2011, 9:03 am
NASAA recently announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [read post]
5 Feb 2009, 1:30 pm
The SEC and the New York Attorney General separately announced the finalization of the settlement with Wachovia Securities, LLC that will provide more than $7 billion in liquidity to thousands of customers who invested in auction rate securities (ARS) before... [read post]
25 May 2011, 3:49 pm
" (ARS § 29-635). [read post]
17 Jul 2019, 8:22 am
AR Capital & Execs Settle SEC Charges for $60 Million According to a press announcement yesterday, the Securities and Exchange Commission charged AR Capital LLC, its founder Nicholas S. [read post]
4 May 2021, 6:01 am
FINRA Letter of Acceptance, Waiver, and Consent (“AWC”) Continue reading The post International Assets Broker Ronald Patrick Cameron Suspended by FINRA – Fayetteville, AR appeared first on Securities Arbitration Lawyer Blog. [read post]
25 May 2011, 3:49 pm
" (ARS § 29-635). [read post]
2 Sep 2010, 2:31 pm
An operating agreement can alter the default LLC provisions so that profit and loss allocations and distributions are based on other factors more appropriate to the circumstances.ManagementIn the absence of an operating agreement, the default provisions of the Arizona LLC Act provide that the members of an LLC will manage the LLC (ARS § 29-681). [read post]
5 Dec 2021, 9:50 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
28 May 2010, 9:28 am
Thomas Weisel Partners LLC based in San Francisco, California, was named in a securities fraud lawsuit filed by the Financial Industry Regulatory Authority (FINRA) alleging that the firm and the head of its fixed income desk, Stephen Henry Brinck Jr., sold $15.7 million worth of auction rate securities (ARS) to customers out of the firm's own accounts without their customers' knowledge or consent. [read post]
28 May 2010, 10:28 am
Thomas Weisel Partners LLC based in San Francisco, California, was named in a securities fraud lawsuit filed by the Financial Industry Regulatory Authority (FINRA) alleging that the firm and the head of its fixed income desk, Stephen Henry Brinck Jr., sold $15.7 million worth of auction rate securities (ARS) to customers out of the firm's own accounts without their customers' knowledge or consent. [read post]
15 Oct 2010, 10:10 am
Blackrock Advisors, LLC, et al., No. 651104/2010 (N.Y. [read post]
1 Oct 2010, 4:14 pm
" (ARS § 29-635). [read post]
22 Dec 2008, 5:18 pm
., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
29 Dec 2016, 6:41 am
H/T Hal Foster Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
27 May 2014, 9:06 am
In considering the Claimant’s request for expungement, the Sole FINRA Arbitrator relied, in part, upon Securities and Exchange Commission Release 2008-171, UBS Securities LLC and UBS Financial Services, Inc. [read post]
17 Feb 2010, 1:44 pm
Ares Management LLC (“Ares”) and Freeman... [read post]
20 Aug 2009, 7:50 pm
Wachovia Securities, LLC and related entities will offer to refund $324.6 million in auction-rate securities from Pennsylvania investors. [read post]
16 Jul 2019, 11:23 am
The SEC charged AR Capital LLC, its founder Nicholas S. [read post]
