Search for: "Wisconsin Insurance Security Fund"
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2 Sep 2013, 1:46 pm
A complaint filed by the state of Wisconsin in 2011 accused Goedeke of using money invested by his clients for his own personal expenses as well as offering to sell unregistered securities within the state. [read post]
20 Dec 2013, 2:55 pm
Securing committed leadership is important to set a clear vision and encourage a culture of coverage. [read post]
5 Apr 2023, 2:05 pm
The SEC’s complaint indicated that Coggeshall purportedly deposited investors’ funds into brokerage and bank accounts in the name of an entity that he owned and allegedly used investor funds to trade securities, incurring significant losses, and to pay personal expenses and to make payments to investors. [read post]
18 Aug 2021, 6:05 am
And two years ago, the company purchased the Schwartz Insurance Agency of Wisconsin. [read post]
18 Feb 2011, 5:11 pm
The securities case accusing Merrill Lynch International alleging breach of contract related to the $18 million credit default swap purchased by DKR Soundshore Oasis Holding Fund Ltd has been reinstated. [read post]
9 Sep 2018, 7:15 am
Flores has outside business disclosures including New Heights Insurance Services and Fox River Valley. [read post]
21 Aug 2012, 12:20 pm
Perhaps the most important thing a married couple in Wisconsin can do to protect one another from financial ruin is to consult with an estate planning attorney, along with a financial planner and an insurance expert. [read post]
11 Jan 2022, 12:45 pm
Further, Shillin allegedly recommended several advisory clients roll over their existing life insurance policies into new policies, which caused certain clients to sell securities in order to pay premiums for policies that were non-existent or had far fewer benefits than Shillin allegedly claimed. [read post]
2 Feb 2010, 9:28 am
Among the proposals drawing ire are the limits on farm subsidies and reducing government support for crop insurance companies. [read post]
28 Sep 2017, 11:06 am
A recent article from the Wisconsin State Journal discusses why it is good idea to seek assistance when applying for Social Security disability benefits. [read post]
11 Jul 2013, 11:00 pm
The U.S Department of the Treasury’s (Treasury) Financial Stability Oversight Council designated two nonbank financial companies as potential threats to financial stability.The Securities and Exchange Commission (SEC) allowed hedge funds and private firms to advertise for money and adopted rules to protect investors from fraud.The U.S. [read post]
30 Sep 2012, 8:17 pm
, Stockbroker Fraud Blog, September 27, 2012 Institutional Investment Fraud Roundup: Ex-Hedge Fund Managers’ Guilty Plea Over Bilking Investors of Almost $1M Get 3-Year Prison Term, SEC Sues Investment Adviser Over Alleged $37M Ponzi, and SEC Files Lawsuit Over Purported “Fund of Funds” Scam, Institutional Investor Securities Blog, September 26, 2012 [read post]
5 Feb 2020, 8:54 am
The insured, a real estate investment vehicle, was sued for squandering invested funds and mismanaging its real estate assets, and its insurer denied coverage under the professional services exclusion. [read post]
16 Mar 2021, 8:51 am
In November of 2006 I brokered a group term life insurance contract. [read post]
27 May 2019, 8:14 am
As I noted in my prior post about state court secondary offering-related securities litigation, the D&O insurance marketplace has adjusted in reaction to the post-Cyan possibilities for state court IPO-related litigation, but I don’t know that the D&O insurance marketplace has adjusted to the possibility of state court secondary offering-related securities litigation. [read post]
27 Apr 2020, 9:11 am
The findings stated that the promissory notes were for a self-advertised real-estate investment fund and were unregistered securities. [read post]
26 Mar 2020, 8:36 am
This money goes into the state UI trust fund. [read post]
14 Aug 2009, 6:29 am
The lawsuit in Ohio follows a recent one in Wisconsin. [read post]
12 Sep 2019, 11:40 am
Midland Funding (which we have criticized.) [read post]
12 Jan 2009, 5:43 am
The board was looking for ways to shore up its teacher's retirement fund. [read post]
