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SEC Releases Year-End Results For 2023, Including Record Amount Paid To SEC Whistleblowers
16 Nov 2023, 9:04 am by Silver Law Group
Individuals who violated US securities laws led to charges that accounted for two-thirds of the SEC’s cases. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards
15 Nov 2023, 6:26 am by jeffreynewmanadmin
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC Announces Enforcement Results for Fiscal Year 2023
14 Nov 2023, 9:01 pm by renholding
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
New York LLC Caselaw’s Greatest Hits
13 Nov 2023, 4:07 am by Peter Mahler
My co-panelists Chris Mercer (Mercer Capital) and William Savino (Woods Oviatt Gilman LLP) respectively spoke about the marketability discount in fair value appraisal proceedings and caselaw developments concerning closely held business corporations. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Fastest Growing Independent Broker-Dealers
12 Nov 2023, 9:23 pm by D. Daxton White
  This is because the vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
The Sole Proprietorship: Pros and Cons
10 Nov 2023, 9:44 pm by Cari Rincker
The courts could seize a sole proprietor’s home, car, bank accounts, and other belongings to satisfy a liability of the business. [read post]
Food, Farm & Family Law Blog - https://rinckerlaw.com/blog
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
9 Nov 2023, 9:01 pm by renholding
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Brian Wurdemann Barred By FINRA Following Two Arbitration Actions
9 Nov 2023, 6:29 am by Silver Law Group
Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)
8 Nov 2023, 10:14 pm by D. Daxton White
  For investors, this rule means that they can expect their broker-dealer to take into account their specific investment profile before making any recommendations. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Andrew Miles Subject Of $1M In Several Customer Disputes Over Unsuitable Investment Strategies
6 Nov 2023, 9:46 am by Silver Law Group
­­Andrew Miles (­­Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Rule 3280: Private Securities Transactions
3 Nov 2023, 10:39 am by The White Law Group
This includes trading stocks, bonds, or other securities for their own account. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Beneficial Ownership Reporting Requirements Under the Corporate Transparency Act
2 Nov 2023, 9:04 am by Jeffrey M. Hanna, Emily P. Gordy, Lauren Mann and Pooja Ravisankar
FinCEN will be proposing rules to reduce duplicative reporting obligations, which exist because certain financial institutions currently must obtain similar BOI information for legal entity customers at account opening. [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
FINRA Bars Broker Ron Filoramo After Fraudulent Induction Allegation
2 Nov 2023, 6:55 am by Silver Law Group
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Commercial Activity Tax Changes Brings Additional Opportunities for Business Growth in Ohio
1 Nov 2023, 1:38 pm by Demetrius J. Robinson
CAT applies to various businesses, including limited liability companies (LLCs), partnerships, and corporations. [read post]
KJK Legal News & Insights - https://kjk.com/news-insights/
Rodney Ferruso, Royal Alliance, Barred by FINRA 
1 Nov 2023, 12:38 pm by The White Law Group
It’s especially problematic in taxable accounts, as the gains are subject to tax. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow?
31 Oct 2023, 9:05 pm by renholding
Because LTL had a “substantial equity cushion and a lack of evidence suggesting it had trouble paying debts or impaired access to capital markets,” its filing was “premature. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2023
26 Oct 2023, 8:53 am by Silver Law Group
Morgan Securities LLC   Albert Foronda   Spartan Capital Securities, LLC   Worden Capital Management LLC   Jorge Baquero   Spartan Capital Securities, LLC   Eduardo Martinez   National Securities Corporation   PHX Financial, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
25 Oct 2023, 12:49 pm by Silver Law Group
  PRIMEX   Adam Ezrilov   LPL Financial LLC   RBC Capital Markets, LLC   Samuel Girgiss   Spartan Capital Securities, LLC   Worden Capital Management LLC   Dennis Hanrahan   Spartan Capital Securities, LLC   John Thomas Financial   Timothy Henry   Wells Fargo Clearing Services, LLC   Credit Suisse Securities (USA) LLC   Kenneth… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
25 Oct 2023, 8:30 am by Silver Law Group
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/