Search for: "CD Investors"
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4 Jul 2012, 12:41 pm
The court found that the bank CD purchasers were not customers of the broker-dealer within the meaning of the Securities Investor Protection Act (SIPA). [read post]
28 Aug 2013, 4:18 am
CD&Is vs. [read post]
18 Feb 2009, 8:51 am
"We are moving quickly and decisively in this enforcement action to stop this fraudulent conduct and preserve assets for investors. [read post]
1 Apr 2015, 8:00 am
Due to the economic downturn still being fresh in the minds of many older investors, many have focused on low risk investing strategies like a certificate of deposits (CD). [read post]
10 Apr 2015, 1:13 pm
Of the 100, 84 investors had used Pershing’s services in the course of purchasing CDs from Stanford Group Company and had signed client and margin agreements with Pershing, which contained arbitration provisions. [read post]
17 Feb 2012, 4:48 am
" And here is one from an investor presentation last year: .... [read post]
6 May 2009, 10:06 am
" But, unless the SEC becomes very active in ferreting out fraudulent uses of CDS contracts, that small victory will give private investors cold comfort. [read post]
11 Feb 2016, 4:14 am
FINRA has issued an investor alert involving high-yield CD offers that are really bait for the sale of a high commission investment. [read post]
18 May 2021, 8:58 am
Japanese Investor’s Savings Were Overconcentrated in Offshore CD An investor who lives in Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Unionbanc Investment Services and its California-based broker, Asako Kanekiyo Thompson. [read post]
30 Aug 2010, 12:47 pm
According to the SRO, from February 2007 to November 2008, the Utah broker-dealer failed to make public in its online CD auctions that Liquid Asset Management took part in auctions to retail investors. [read post]
17 Nov 2011, 11:22 am
Investors who purchased Certificate of Deposit (CD) Investments from R. [read post]
7 Dec 2011, 2:01 pm
The SIPC initially denied coverage to investors who purchased CD’s from Stanford, but in June the SEC urged them to reconsider and threatened legal action. [read post]
14 Apr 2010, 8:06 am
Under the terms and conditions, the WCCD at issue permitted conversion of US currency into ISK with a 3 month maturity date, affording the investor the option to rollover of the CD and its proceeds by re-investing in the same currency for the same maturity, at the current prevailing interest rate. [read post]
15 Nov 2022, 4:30 am
You definitely do not want the new pay versus performance disclosure (which, for most companies, will likely not be presented as part of the CD&A, but rather somewhere further back in the tabular compensation disclosures) to present any “surprises,” because even if the institutional investors or proxy advisory firms are not really using the data as part of their evaluation in the 2023 proxy season, they certainly will not be ignoring the disclosure. [read post]
29 Apr 2016, 9:13 am
Allegedly Segal told investors that they could earn an annual interest rate of up to 12% investing in CDs, but instead he used investors funds to pay personal expenses and to make purported interest payments to investors. [read post]
13 Mar 2020, 1:27 pm
The Securities and Exchange Commission today announced charges against Denis Georgiyevich Sotnikov and entities he controlled for allegedly participating in a fraudulent scheme to lure U.S. investors into buying fictitious Certificates of Deposit (CDs)…Read the Full Press ReleaseHave a securities law question? [read post]
16 Apr 2010, 11:42 am
” It is hard to tell whether direct investors in ABACUS lost $1 billion or whether that includes companies which had CDS risk exposure to it. [read post]
26 Feb 2019, 7:36 am
Investors were sold the CD’s through Stanford’s brokerage firm in the US. [read post]
1 Nov 2019, 6:53 am
SSEK Investigating Centaurus Financial Brokers Our brokerage firm misconduct lawyers at Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) are representing investors who were sold structured certificates of deposits (CDs) by Centaurus Financial brokers Cindy Chiellini and Ricky Mantei. [read post]
17 Jul 2009, 3:19 am
People who took out CDs at Stanford Financial are mad that several US agencies knew about Stanford's fraudulent business practices and corruption, but investors were never warned. [read post]
