Search for: "Security First Managers, LLC."
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3 Nov 2023, 2:03 pm
In the first instance, he responded, “Hopefully United States through my mother. [read post]
3 Nov 2023, 10:39 am
The post FINRA Rule 3280: Private Securities Transactions appeared first on The White Law Group. [read post]
2 Nov 2023, 6:55 am
The post FINRA Bars Broker Ron Filoramo After Fraudulent Induction Allegation appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
27 Oct 2023, 6:00 am
The Fed’s action, which the payments industry has been expecting for some time, comes as the nation’s banking regulator seeks to reduce its mandated cap on debit interchange for the first time since the current regulation became effective 12 years ago as part of the Durbin Amendment to the Dodd-Frank Act. [read post]
26 Oct 2023, 12:50 pm
Financial Advisor Julie Darrah Charged with Embezzlement Financial Advisor Julie Darrah and Vivid Financial Management, the wealth management firm she co-founded, have been hit with civil charges by the Securities and Exchange Commission (SEC). [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
26 Oct 2023, 8:35 am
Pruco Securities LLC Madison Avenue Securities, LLC Jack McBride Newbridge Securities Corporation B. [read post]
26 Oct 2023, 12:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
25 Oct 2023, 10:04 pm
LLCs can be run by members (member-managed) or managers (manager-managed). [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
25 Oct 2023, 12:36 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
24 Oct 2023, 9:01 pm
The first categ [read post]
23 Oct 2023, 6:15 am
The Office of Management and Budget (OMB), the Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agency (CISA), and the General Services Administration (GSA) oversee the TIC. [read post]
20 Oct 2023, 2:40 pm
This targeted sweep is the first of its kind following the New Marketing Rules’ compliance deadline in November 2022. [read post]
20 Oct 2023, 8:33 am
Securities and Exchange Commission to challenge a ruling from the D.C. [read post]
19 Oct 2023, 12:28 pm
The post SEC Order Asset Freeze For Nanban Ventures, LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Oct 2023, 3:02 pm
The highlight was Relativity aiR for Review, the company’s first tool leveraging the GPT-4 natural language model. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
17 Oct 2023, 9:23 am
Riley case, where we challenged a Georgia tax on adult entertainment establishments on First Amendment/free speech grounds. [read post]
