Search for: "In Interest of LJMS"
Results 1 - 20
of 50
Sort by Relevance
|
Sort by Date
16 Aug 2023, 9:04 am
The firm paid restitution of $235,979.77 plus interest. [read post]
5 Jul 2023, 12:52 pm
In addition to the censure and $100,000 fine, FINRA ordered Hightower pay a partial restitution of $133,600, plus interest to certain customers who purchased GPB Capital and restitution of $119,577.40 plus interest to two customers who purchased LJM. [read post]
17 May 2023, 12:30 pm
” According to Jensen’s Investment Adviser profile, he has nine customer disputes filed against him for breach of fiduciary duty and misconduct related to the LJM fund. [read post]
29 Mar 2023, 12:50 am
The White Law Group helps clients navigate the arbitration process and represent their interests throughout the proceedings. [read post]
8 Apr 2022, 7:52 am
The self-regulatory organizations’ (SRO’s) case against Geneos is also over its sales of the LJM Preservation & Growth Fund to customers. [read post]
21 Mar 2022, 11:09 am
While Geneos learned of the delays, the firm purportedly sold a limited number of limited partnership interests in GPB Automotive Portfolio after that announcement, according to FINRA’s findings. [read post]
3 Mar 2022, 9:33 am
The SEC seeks a permanent injunction, disgorgement including prejudgment interest, and civil penalties. [read post]
3 Jun 2021, 6:20 am
The complaint seeks permanent injunctions, disgorgement with prejudgment interest, and civil penalties. [read post]
31 Mar 2021, 9:16 am
Cambridge also was ordered to pay a restitution of $3.13 million plus interest; and Securities America was ordered to pay a restitution of $235,979 plus interest. [read post]
30 Mar 2021, 11:39 am
According to a Letter of Acceptance Waiver and Consent (AWC) posted by FINRA on March 29, 2021, the regulator has censured and fined Cambridge Investment Research $400,000 for supervisory violations in connection with the recommendations of an alternative mutual fund – the LJM Preservation and Growth Fund (LJM) The firm was also ordered to pay restitution of $3,134,354.82 plus interest and establish and implement policies, procedures, and internal… [read post]
30 Mar 2021, 10:50 am
. $50,000 for supervisory violations in connection with the recommendations of an alternative mutual fund – the LJM Preservation and Growth Fund (LJM) The firm was also ordered to pay restitution of $163,527 plus interest and establish and implement policies, procedures, and internal controls reasonably designed to address and remediate the issues identified in this AWC. [read post]
30 Mar 2021, 9:39 am
In addition to the censure and fine the firm has established and implemented policies, procedures, and internal controls reasonably designed to address and remediate the issues; a $100,000 fine; and restitution of $235,979.77 plus interest as described below. [read post]
10 May 2017, 11:00 am
This case should get interesting so stay tuned for updates. [read post]
9 Mar 2017, 1:03 pm
Brookman in the Southern District and assigned Case 1:17-cv-00712-LJM-MPB. [read post]
1 Aug 2013, 11:00 am
Cook Medical Incorporated, Civil Action No. 1:12-cv-01630-LJM-DKL, which was initiated by a complaint making similar allegations, is currently pending before the same court. [read post]
28 Nov 2011, 7:30 am
The investigation started off looking at three areas: the LJM partnerships that Enron Chief Financial Officer Andrew Fastow created to help Enron move assets off the balance sheet; the way the energy trading business's reserves were used to cover losses in other units; and possible insider trading. 'No smoking gun' Over time, new areas of interest popped up as investigators dug deeper and more witnesses came forward to talk, Anderson said. [read post]
28 Nov 2011, 7:30 am
The investigation started off looking at three areas: the LJM partnerships that Enron Chief Financial Officer Andrew Fastow created to help Enron move assets off the balance sheet; the way the energy trading business's reserves were used to cover losses in other units; and possible insider trading. 'No smoking gun' Over time, new areas of interest popped up as investigators dug deeper and more witnesses came forward to talk, Anderson said. [read post]
27 Sep 2010, 5:00 am
Standing to sue requires an interest in the claim at issue in the lawsuit that the law will recognize as a sufficient predicate for determining the issue at the litigant's request. [read post]
5 Aug 2010, 8:00 am
The Court analyzed the different ways a minority shareholder’s interest can be evaluated for purposes of determining the value the shareholder should be paid, whether in the form of a sales price or damages. [read post]
5 Aug 2010, 7:00 am
The Court analyzed the different ways a minority shareholder’s interest can be evaluated for purposes of determining the value the shareholder should be paid, whether in the form of a sales price or damages. [read post]
