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Goodwin Procter Discusses Yet Another Two Decisions in Bernie Madoff Case
20 Nov 2023, 9:01 pm by renholding
” 18 Specifically, the relevant act could have been (a) the receipt of funds by PIFSS, (b) its redemption request and receipt of funds, or (3) the entire relationship,including subscription and investment. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Releases Year-End Results For 2023, Including Record Amount Paid To SEC Whistleblowers
16 Nov 2023, 9:04 am by Silver Law Group
In the process the SEC seeks to freeze assets to prevent losses of funds that are later returned to investors. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
Funding for Native healthcare programs, and the Armed Career Criminal Act returns
15 Nov 2023, 1:28 pm by John Elwood
Is the tribe entitled to only enough to cover the IHS-funded activities? [read post]
SCOTUSblog - http://www.scotusblog.com/
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/
Matrix Capital Markets Group helps sale of Day Motor Sports
15 Nov 2023, 5:55 am by Daily Record Staff
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
On the Record - http://thedailyrecord.com/ontherecord/
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
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. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Robert Marquez, Investment Network, Barred by FINRA 
10 Nov 2023, 7:44 am by The White Law Group
Companies often use pre-IPO private placements to raise additional capital to fund their operations, expansion, or other business activities. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
9 Nov 2023, 9:01 pm by renholding
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [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
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Rule 3280: Private Securities Transactions
3 Nov 2023, 10:39 am by The White Law Group
This can include investing in start-ups, venture capital opportunities, or other private securities offerings. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Weekly Roundup: October 27-November 2, 2023
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: October 27-November 2, 2023
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
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
These include, among others: Large operating companies (20+ full time employees and $5 million in gross receipts/sales); Public companies; Venture capital fund advisors; Pooled investment vehicles; Subsidiaries of certain exempt entities (must be wholly owned subsidiaries); Insurance companies and insurance producers; Certain other highly regulated entities, such as: Banks; Credit unions; Bank holding companies; Securities brokers or dealers; SEC-registered investment companies or… [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/
Rodney Ferruso, Royal Alliance, Barred by FINRA 
1 Nov 2023, 12:38 pm by The White Law Group
  Short-Term Trading of Mutual Funds  Mutual fund switching or short-term mutual fund trading by a broker can be detrimental to their clients for several reasons:  Frequent switching or trading in and out of mutual funds can lead to higher transaction costs, such as sales charges, redemption fees, and capital gains taxes. [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
LTL assumed responsibility for all of JJCI’s talc-related liabilities in return for certain rights under a funding agreement. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
When an LLC Is Not the Best Fit
25 Oct 2023, 10:04 pm by Cari Rincker
If a company formed as an LLC wants to raise capital, it may be at a disadvantage with investors for the following reasons: LLCs cannot issue stock. [read post]
Food, Farm & Family Law Blog - https://rinckerlaw.com/blog
SEC Enforcement Chief Speaks on Corporate Compliance
24 Oct 2023, 9:01 pm by renholding
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/