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3 Aug 2009, 1:23 pm
On August 3, 2009, the Securities and Exchange Commission ("SEC") announced that it was entering into a Consent Judgement with Bank of America Corporation ("BoA" or the "Company") in connection with the Company's issuance of a joint proxy statement filed with the SEC as to BoA's acquisition on Merrill Lynch & Co., Inc. [read post]
27 Sep 2019, 7:03 am
SEC files charges in $3.1 Million alleged Boiler–Room Scheme, Central Islip, New York According to a press release on Monday, the Securities and Exchange Commission announced new charges in connection with an alleged boiler room scheme purportedly involving the manipulation of millions of shares of Renewable Energy and Power Inc. [read post]
30 Mar 2021, 9:39 am
FINRA Censures and Fines Securities America Inc. for Supervisory Issues The White Law Group is investigating potential securities claims involving Securities America, Inc. [read post]
9 Mar 2010, 12:46 pm
Recently the state securities regulator for Massachusetts filed an administrative complaint against Securities America in connection with its sale of promissory notes issued by special purpose corporations wholly owned by Medical Capital Holdings, Inc. [read post]
19 Dec 2017, 8:15 am
On December 8, 2017, the Securities and Exchange Commission (“SEC”) issued a Cease-and-Desist Order (“Order”) against Ameriprise Financial Services, Inc. [read post]
5 Feb 2021, 11:33 am
Continue reading The post Somersworth, NH Financial Advisor Michael Francoeur, Formerly of Cambridge Investment Research, Inc, BARRED by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
30 Aug 2019, 8:25 am
The FBI reportedly raided uBiome’s headquarters in April 2019, in connection with the company’s billing practices. [read post]
11 Jan 2019, 7:58 am
Steven Pagartanis (CRD #1958879) was employed by Lombard Securities Inc. from September 2017 through March 20-18. [read post]
3 Mar 2021, 11:54 am
Continue reading The post How to Recover Puerto Rico Bond Losses From David Lerner Associates, Inc. appeared first on Securities Arbitration Lawyer Blog. [read post]
24 Feb 2016, 6:50 am
According to the FTC, these security flaws resulted in hackers compromising thousands of customers’ ASUS routers and network-connected devices, including over 12,900 connected devices, in February 2014. [read post]
23 Apr 2021, 1:06 pm
Travelers Casualty & Surety Company of America that stockholder suits alleging breaches of fiduciary duty in connection with a merger do not constitute a “securities claim” in the context of D&O policies. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
9 Feb 2022, 7:59 am
New York securities arbitration law firm Iorio Altamirano LLP is investigating the sales practices of broker Mark Williams connected with his recommendation of L Bonds issued by GWG Holdings, Inc. to senior and elderly customers. [read post]
9 Feb 2023, 6:18 am
FINRA Censures and Fines Rosenblatt Securities According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has censured and fined Rosenblatt Securities, Inc., a broker-dealer headquartered in New York, NY, $35,000 in connection with private placement sales. [read post]
19 Jun 2015, 7:46 am
In connection with the bankruptcy filing, the Debtors also filed a Form 8-K with the U.S. [read post]
11 Sep 2020, 11:35 am
(JFIN), a Chinese company founded in 2011, operates an online financial marketplace that connects borrowers and investors. [read post]
26 Jul 2018, 12:54 pm
Continue reading The post Silver Law Group is Investigating Lawrence Fawcett, Jr. of Westpark Capital, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Jul 2018, 1:07 pm
Continue reading The post Silver Law Group is Investigating Gary Basralian of Royal Alliance Associates, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Nov 2019, 7:36 am
Lawsuit Settles for $1 Billion in September According to reports last week, Vereit Inc., a real estate investment company, agreed to pay an $8 million fine to the Securities and Exchange Commission in connection with accounting irregularities from five years ago. [read post]
22 Jan 2021, 11:20 am
ViewTrade Securities, Inc. was the sole book-running manager for the offering. [read post]
