Search for: "International Equity Investments, Inc."
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18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
11 Dec 2023, 9:05 pm
Fresh Market, Inc.. [read post]
29 Nov 2023, 9:01 pm
The off-channel communications actions were also significant in that the respondents agreed to retain independent compliance consultants and undertake comprehensive reviews of their internal policies and procedures. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
2 Nov 2023, 6:36 am
William Conn (William Joseph Conn CRD# 1477107, aka “Bill Conn”) is a currently registered broker and investment advisor with International Assets Advisory, LLC (CRD#: 10645) of San Francisco, CA. [read post]
18 Oct 2023, 9:01 pm
Like the SEC’s prior action against BNY Mellon Investment Adviser Inc. [read post]
3 Oct 2023, 9:01 pm
August 4, 2023, settled) In the Matter of Canoo, Inc. [read post]
2 Oct 2023, 9:01 pm
This principle was articulated in In re Caremark International Inc. [read post]
22 Sep 2023, 1:56 pm
From 2017 to 2022, Schlagheck reportedly served as a broker with Intervest International Equities Corporation, in its Ottawa Lake, Michigan office. [read post]
22 Sep 2023, 1:56 pm
From 2017 to 2022, Schlagheck reportedly served as a broker with Intervest International Equities Corporation, in its Ottawa Lake, Michigan office. [read post]
22 Sep 2023, 1:56 pm
From 2017 to 2022, Schlagheck reportedly served as a broker with Intervest International Equities Corporation, in its Ottawa Lake, Michigan office. [read post]
11 Sep 2023, 2:36 am
Cottonwood Communities – Non-Traded REIT Investigation Cottonwood Communities Inc., a publicly registered non-traded REIT specializing in multifamily real estate investments, has reportedly temporarily halted subscriptions for its common stock public offering and private preferred equity offerings. [read post]
31 Aug 2023, 6:05 am
Shifting Sands: The Supreme Court’s Attack on Affirmative Action The Court’s decision in Students for Fair Admissions, Inc. v. [read post]
14 Aug 2023, 12:31 pm
If so, attach copy Yes __ No ___If the decedent died after December 31, 2001, did the decedents taxable estate plus adjusted taxable gifts for Federal estate tax purposes under the provision of the Internal Revenue Code in effect on December 31, 2001 exceed $675,000? [read post]
1 Aug 2023, 4:27 pm
Social: Information related to, inter alia, labor standards and practices; wages and benefits; equal pay; Diversity, Equity, and Inclusion (“DEI”) policies and initiatives; supply chain and sourcing integrity (e.g., anti-human trafficking and anti-slavery policies and procedures); community impact; data protection; or product safety and quality. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
25 Jul 2023, 9:01 pm
These Board Members also cited to recent corporate scandals that resulted in significant fines, reputational damage and a loss of equity value as evidence of the financial impacts of the indirect effects of NOCLAR.[2] Board Members Duane M. [read post]
20 Jul 2023, 9:01 pm
In view of the attacks on “woke” corporations, ongoing legislative opposition to the consideration by investors and corporations of environmental, social and governance (ESG) issues, legal challenges to elements of ESG itself (notably, initiatives designed to further diversity, equity and inclusion), and the attendant political polarization, we undertook to revisit The New Paradigm: A Roadmap for an Implicit Corporate Governance Partnership Between Corporations and Investors to… [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
