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17 Aug 2009, 8:36 am
Hedge Fund Research, Inc. [read post]
27 Feb 2007, 4:49 pm
Bear Stearns Securities Corp. is being ordered to pay over $125 million to a bankruptcy trustee because of Manhattan Investment Fund, a collapsed hedge fund used by hedge fund principal Michael Berger to run a large scale fraudulent investment scam. [read post]
4 Feb 2011, 2:36 pm
The SEC found that thousands of TD Ameritrade customers continue to hold a majority of the funds shares, and have received only 95% of their original principal investment in the fund. [read post]
7 Nov 2018, 3:04 pm
Investors in Black Creek Diversified Property Fund, Inc. [read post]
7 May 2011, 6:37 am
Attorneys general negotiating the settlement of a nationwide foreclosure investigation have yet to approach banks with a proposed dollar amount that would fund principal reductions for borrowers, a state official said. [read post]
6 Nov 2013, 11:00 am
See FundersClub Inc. [read post]
8 Jul 2022, 6:27 am
Many GWG L Bond investors are skeptical that they will receive any significant portion of their principal back. [read post]
25 Aug 2009, 8:46 pm
The SEC's complaint alleges that the defendants defrauded investors by misappropriating about $18.5 million of investor funds and by misrepresenting to investors that no prior offerings had defaulted on or been late in making payments to investors of principal and/or interest. [read post]
22 Dec 2014, 12:01 pm
Between March, 1999 and September, 2014 Johnson was registered with RedRidge Securities, Inc. in Chicago, Illinois. [read post]
3 Feb 2016, 9:42 am
These funds include: MainStay Cushing® Royalty Energy Inc A (CURAX) MainStay Cushing® Royalty Energy Inc I (CURZX) MainStay Cushing® Royalty Energy Inc Inv (CURNX) MainStay Cushing® Royalty Energy Inc C (CURCX) MainStay Cushing® MLP Premier I (CSHZX) MainStay Cushing® MLP Premier A (CSHAX) MainStay Cushing® MLP Premier Investor (CSHNX) MainStay Cushing® MLP Premier C (CSHCX) For example, CURCX, a fund that… [read post]
9 Oct 2013, 6:45 am
Distributions from closed-end funds can at times be nothing more than a return of your own principal. [read post]
2 May 2013, 3:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant asserted causes of action including negligence, breaches of contract and fiduciary duty, fraud, conflict of interest, violations of securities rules and laws, and unsuitability in connection with his investment in Respondent BBVA’s proprietary fund Puerto Rico & Global Income Target Maturity Funds, Inc. [read post]
21 May 2013, 1:42 pm
Read More >The post Consolidated and Further Continuing Appropriations Act of 2013 appeared first on Legislative Intent Service, Inc.. [read post]
14 Jul 2022, 8:58 am
Many GWG L Bond investors are skeptical that they will receive any significant portion of their principal back. [read post]
6 Apr 2012, 7:14 pm
In other FINRA-related news, Berthel, Fisher & Company Financial Services, Inc. registered principal Marsha Ann Hill has been suspended from associating with any Financial Industry Regulatory Authority member for a year. [read post]
9 Feb 2007, 8:40 am
Other parties named in the complaint include Full Value Partners Limited Partnership, Opportunity Partners Limited Partnership, Kimball & Winthrop Inc., Opportunity Income Plus Fund Limited Partnership, Spar Advisors LLC, Full Advisors LLC, Bulldog Investors Co-founder and Principal Steven Samuels, and Bulldog Investors principals Rajeev Das and Andrew Dakos. [read post]
4 Oct 2018, 3:00 am
Mark Sorensen and MioMed Orthopaedics, Inc., 2015 IL App (1st) 133719, Mark Sorensen, the president and principal shareholder of MioMed Orthopaedics, was sued by a minority shareholder claiming oppression, corporate waste and violation of the corporate disclosure statute. [read post]
10 Jun 2009, 2:01 pm
According to a criminal complaint unsealed Wednesday, Weitzman, a former principal of AFW Asset Management Inc., has been charged with investment-adviser fraud, six counts of securities fraud and six counts of wire fraud. [read post]
23 Nov 2015, 1:38 pm
FINRA announced that it has filed a complaint against Cantone Research Inc. [read post]
2 Oct 2020, 9:44 am
Robert Barnard, Principal Securities Inc., Las Cruces, NM FINRA Reportedly Bars Robert Barnard after Allegations of Selling Away and Borrowing Client Funds According to the Financial Industry Regulatory Authority (FINRA) on September 30, the regulator has barred financial advisor Robert Barnard after he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations referenced in Form U5s filed by his member… [read post]
