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7 Feb 2020, 1:29 pm
Last week, the Financial Industry Regulatory Authority (FINRA) censured and assessed a fine of $50,000 against a national investment firm, Paulson Investment Company LLC, in connection with its sale and solicitation of private placement offerings to investors, in violation of Rule 506 of Regulation D and Section 5 of the Securities Act of 1933. [read post]
10 Apr 2013, 5:24 pm
Series LLC in Real Estate Series LLC’s are particularly good for certain industries. [read post]
24 Jan 2020, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5036/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5035/securities-industry-commentator/FINRA Ordered to Produce Public Relations Firm's Communications in Brummer… [read post]
1 May 2023, 3:49 am
LLC,... [read post]
7 May 2020, 6:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5214/securities-industry-commentator/Santa Monica Man Admits Orchestrating Online Romance Scam that Conned Four Women into Investing in His Bogus Companies (DOJ Release)In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and O... [read post]
21 Feb 2019, 10:06 am
Similar to all other consumer industries, there are fads in the retail investment market. [read post]
13 Dec 2019, 12:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4964/securities-industry-commentator/FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations (FINRA Release)Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute (BrokeAndBroker.com Blog)CFTC Awards More Than $1 Million to Whistleblower (CFTC Release)IN RE: TRIBUNE COMPANY… [read post]
14 May 2021, 4:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5852/securities-industry-commentator/SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index (SEC Release)Statement on S&P Dow Jones Indices LLC by SEC Commissioner Hester M. [read post]
28 Feb 2022, 3:42 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/XXXX/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6322/securities-industry-commentator/No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend… [read post]
11 Aug 2017, 1:56 pm
The post Wall Street Sharks Entice Customers with Securities-Backed Loans appeared first on Zamansky LLC. [read post]
8 Jan 2018, 3:16 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. http://www.rrbdlaw.com/3769/securities-industry-commentator/In today’s Securities Industry Commentator feed:SEC Charges Connecticut Insurance Executive and Two Companies with Securities Offering Fraud (SEC Litigation Release No. 24028) In Securities and Exchange SEC v. [read post]
1 Aug 2022, 4:04 am
Morgan Securities LLC, Respondent (FINRA AWC)... [read post]
18 Dec 2017, 3:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. http://www.rrbdlaw.com/3734/securities-industry-commentator/In today’s Securities Industry Commentator feed:SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors (SEC Press Release 2017-235) According to an SEC Complaint filed in the United States District Court for the Southern District of Florida,… [read post]
15 Sep 2020, 9:19 am
Credit Suisse Securities (USA), LLC, Defendant/Appellee (Opinion, 9Cir)... [read post]
6 Nov 2018, 8:06 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post With No Fiduciary Rule To Worry About, Wall Street Can Push Annuities With Reckless Abandon appeared first on Zamansky LLC. [read post]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
5 Apr 2018, 9:04 am
On Wall Street has released the first of three transcripts of a round table discussion with financial industry recruiters. [read post]
20 Feb 2019, 5:55 am
The post Despite Clear Risks, Wall Street Firms Continue to Push Yield Enhancement Strategies (YES) for Individual Investors appeared first on Zamansky LLC. [read post]
11 Dec 2017, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. [read post]
19 Nov 2021, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6177/securities-industry-commentator/FINRA Arbitrator Says Customers' Claims Are Baseless in Win for Industry Respondents (BrokeAndBroker.com Blog)Federal Reserve Board announces termination of enforcement action with The Goldman Sachs Group, Inc. and Goldman Sachs & Co. [read post]
