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29 Jul 2014, 12:06 pm
Have you suffered investment losses in Sonoma Ridge Capital, LLC? [read post]
28 Jul 2014, 3:58 pm
LLC (“RenTec”) and George Weiss Associates.The banks and hedge funds used the option structure to open proprietary trading accounts in the names of the banks and create the fiction that the banks owned the account assets, when in fact the hedge funds exercised total control over the assets, executed all the trades, and reaped all the trading profits.The hedge funds often exercised the options shortly after the one-year mark and claimed the trading… [read post]
23 Jul 2014, 8:59 am
The Financial Industry Regulatory Authority (FINRA) accused Mustaphalli of soliciting money for his fund, Mustaphalli Capital Partners, and receiving commissions over a six month period in 2011. [read post]
22 Jul 2014, 11:57 pm
The proposed no-fault pact would require Capital One Bank (USA) NA, Capital One NA, Capital One Financial Corp., Capital One Services LLC, Capital One Services II LLC – along with three other defendants-to pay the “largest settlement cash sum-by far-in the 22-year history of the TCPA – $75,455,098.74 – into a settlement fund,” the plaintiffs said in their amended memorandum in support of the… [read post]
22 Jul 2014, 7:00 am
Thereafter, he was associated with eight different firms including Maxim Group LLC, ICM Capital Markets, LTD, vFinance Investments, Inc., Halcyon Cabot Partners, LTD. [read post]
21 Jul 2014, 7:21 am
According to the complaint, in 2013, Discala and Wexler served as the CEO and President of OmniView Capital Advisors LLC (OmniView) conspired with registered representatives Bell and Josephberg to inflate the price of the stock of CodeSmart. [read post]
20 Jul 2014, 5:23 am
See, e.g., Tower Investors, LLC v. 111 Chestnut Consultants, Inc., 371 Ill.App.3d 1019 (2007). [read post]
11 Jul 2014, 9:00 am
According to the New York Post, when Lion Capital LLC lent American Apparel the $15 million, the two entered into a lending agreement that said American Apparel would be in default if it fired Charney. [read post]
7 Jul 2014, 5:39 am
On June 27, 2014, Gana LLP filed a statement of claim against JHS Capital Advisors, LLC, formerly known as Pointe Capital Inc, on behalf of an Arkansas couple. [read post]
2 Jul 2014, 12:40 pm
NML Capital Ltd. [read post]
30 Jun 2014, 8:34 am
In 2009, Linton formed Integrity Capital LLC. [read post]
25 Jun 2014, 8:49 am
According to the SEC, the firm’s founder and another individual later pocketed some of the transferred investor proceeds to enrich themselves.The SEC alleges that Weston Capital Asset Management LLC and its founder and president Albert Hallac illegally drained more than $17 million from a hedge fund they managed and transferred the money to a consulting and investment firm known as Swartz IP Services Group Inc. [read post]
23 Jun 2014, 2:38 pm
Taking out loans to increase investment capital exposes clients to additional and often unnecessary risks. [read post]
20 Jun 2014, 1:28 pm
Prior to Miller’s arrest, WTAE.com wrote that Investors Capital reported to the Financial Industry Regulatory Authority (FINRA) that the firm terminated Miller’s employment for “misappropriation of funds, borrowing money from investors, fraudulent investment activity” and “creating false documents. [read post]
18 Jun 2014, 11:57 am
”DiNapoli’s office identified nearly 10,000 unclaimed funds accounts valued at $5,023,246 by matching the names of 1,600 local governments against the state’s unclaimed funds database. [read post]
18 Jun 2014, 7:33 am
” In 2000, Della Penna formed Gaeton Capital Advisors, LLC. [read post]
17 Jun 2014, 8:21 am
Hatteras Capital Investment Management, LLC, 2014 NCBC 23, turned on the meaning of the word "with. [read post]
16 Jun 2014, 12:42 pm
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 Boca Raton, Florida. [read post]
14 Jun 2014, 6:06 am
Those firms include Janney Montgomery Scott LLC and Investors Capital Corp. [read post]
10 Jun 2014, 6:34 am
FINRA alleged that Lord and two acquaintances created a called Canebrake Capital Management LLC (Cranebrake) in or about 2007 to make an investment in a spring water business. [read post]
