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15 Dec 2021, 6:04 am
On July 26, 2021, Steadfast Apartment REIT, Inc. and Independence Realty Trust, Inc. [read post]
6 Mar 2018, 11:24 am
The post MVP REIT I and II Merges to Form The Parking REIT Inc. appeared first on White Securities Law. [read post]
20 May 2015, 9:49 am
A former University of Washington faculty member pled guilty in connection with a Ponzi scheme that lasted at least six years. [read post]
16 Oct 2018, 2:03 pm
Nomura Holding America Inc. and several of its affiliates (“Nomura”) have reached an agreement with the United States where it will pay a $480 million penalty to resolve federal civil claims that Nomura misled investors in connection with the marketing, sale and issuance of residential mortgage-backed securities (“RMBS”) between 2006 and 2007. [read post]
20 Apr 2016, 6:37 am
On April 11, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint (the “Complaint”) against Servergy, Inc. [read post]
3 Oct 2014, 7:29 am
Edwards & Company, Inc. [read post]
16 Feb 2024, 2:35 pm
But Lincare often skipped these visits or did not otherwise secure the information necessary to justify the NIV. [read post]
6 Oct 2022, 9:56 am
(Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’ electronic equity orders. [read post]
9 Jun 2023, 12:54 pm
FINRA, the self-regulator who oversees brokers and brokerage firms, was reportedly investigating Benjamin in connection with an amended Form U5 filed by his member firm, Pruco Securities. [read post]
1 Sep 2020, 9:10 am
If you have concerns regarding investment losses in Miramar Labs Inc. please call the securities attorneys at The White Law Group for a free consultation at 888-637-5510. [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]
14 Jul 2015, 12:36 pm
As we previously reported and discussed, in October 2014 the FCC initiated its first data security case against TerraCom, Inc. and YourTel America, Inc. [read post]
8 Jul 2022, 6:27 am
Iorio Altamirano LLP, a securities arbitration law firm based in New York, NY, is investigating potential lawsuits and securities arbitration claims against National Securities Corporation for its sale of L Bonds issued by GWG Holdings, Inc. [read post]
26 Apr 2012, 7:57 am
The Financial Industry Regulatory Authority ("FINRA") has censured and fined CapWest Securities, Inc. [read post]
29 Mar 2010, 3:59 am
In re Heartland Payment Systems, Inc. [read post]
29 Mar 2010, 3:59 am
In re Heartland Payment Systems, Inc. [read post]
7 Dec 2011, 8:25 am
Van Zandt, MetLife Securities allowed him and others to sell unregistered securities in connection with the operation of this Ponzi scheme for the entirety of his tenure with the firm. [read post]
23 Apr 2024, 3:41 pm
Inmar Brand Solutions, Inc. v. [read post]
23 Apr 2024, 3:41 pm
Inmar Brand Solutions, Inc. v. [read post]
2 Jul 2019, 5:00 pm
Supreme Court on February 7, 2019 on behalf of former shareholders of Time Warner Inc., alleging violations of the Securities Act of 1933 in connection with AT&T, Inc. [read post]
