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5 May 2023, 7:48 am
Intersecurities, Inc. [read post]
5 May 2023, 4:00 am
Equally so, is the new company’s likelihood of becoming larger again, perhaps by being acquired or, with Oakley Capital’s and Bain Capital Credit’s financial capabilities, taking another step forward with a significant and necessary merger or purchase; there are several likely but expensive targets. [read post]
4 May 2023, 1:58 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Austin Kiick Equitable Advisors, LLC Isaac LaFond Patrick Capital Markets, LLC IFP Securities, LLC Steve Moise Joseph Stone Capital, LLC Spartan Capital Securities, LLC David Morris Stifel, Nicolaus & Company, Incorporated… [read post]
24 Apr 2023, 3:33 am
(Financial Advisor IQ by Glenn Koch) In re: Facebook, Inc. [read post]
24 Apr 2023, 3:33 am
(Financial Advisor IQ by Glenn Koch) In re: Facebook, Inc. [read post]
21 Apr 2023, 8:16 am
Supreme Court’s decision in Axon Enterprise Inc. v. [read post]
20 Apr 2023, 12:45 pm
Regal Securities Inc. [read post]
20 Apr 2023, 12:28 am
This post covers several developments related to Microsoft's purchase of Activision Blizzard King ("ABK", NASDAQ:ATVI), all but the first of which I've previously commented on via Twitter: Microsoft's renewed motion to dismiss private lawsuit in California focuses on lack of standing and irreparable harm, and agreements that actually expand access to Call of Duty; lawyers--not "gamers"--are the actual plaintiffsCongressional Republicans, think tanks, advocacy… [read post]
17 Apr 2023, 7:03 am
Aegis Broker Surage Roshan Perera Reportedly Arrested for 16 Count Fraud Charges According to a press release from the US Attorneys office on March 27, 2023, federal authorities arrested financial advisor Surage Roshan Perera, the founder and Executive Director of Janues Capital, Inc. in Bellerose, Queens, on securities fraud charges. [read post]
17 Apr 2023, 4:43 am
Mack) Texas Securities Board Enters Final Order Against Crypto Firm Nexo Capital, Inc. [read post]
14 Apr 2023, 11:30 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisor Networks LLC PFS Investments Inc. [read post]
10 Apr 2023, 11:49 am
The claim further alleges investment losses in Healthcare Trust Inc and Franklin BSP Lending Corp. [read post]
2 Apr 2023, 6:00 am
The industry appears to be dynamic and adaptive, responding to changes in market demands and the increasing reliance on digital tools. [read post]
30 Mar 2023, 8:48 am
The White Law Group has represented hundreds of investors that have lost money in alternative investments (investments like Griffin Realty Trust, FS Energy & Power Fund, GWG L Bonds, GPB Capital offerings, KBS REITs, American Finance Trust, Healthcare Trust, Inc. and Atlas offerings, just to name a few). [read post]
30 Mar 2023, 6:52 am
Over the past year, FINRA has sanctioned numerous firms for failing to disclose material information about GPB Capital offerings. [read post]
29 Mar 2023, 11:34 am
He has been in the industry since 2004. [read post]
28 Mar 2023, 6:52 am
(USA) Inc. [read post]
27 Mar 2023, 9:01 pm
Filings By Industry Sector As shown in Figure 2 below, the distribution of non-merger objection and non-crypto unregistered securities filings in 2022 was largely consistent with 2021. [read post]
24 Mar 2023, 4:00 am
Prosecutors are hopeful many will be incentivized to plead to help manage the crush of cases, which already have strained the court in the nation’s capital. [read post]
13 Mar 2023, 4:17 am
FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Joint Statement by Department of the Treasury, Board of Governors of the Federal Reserve System, and Federal Deposit Insurance Corporation (March 12, 2023) JOIN the Financial Professionals Coalition, Ltd 4Cir Affirms Denial of Motion to Vacate FINRA Arbitration AwardKayvan Karoon; KS Capital Management, Inc., Appellants, v. [read post]
