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17 Sep 2019, 7:13 am
Two other customer disputes in 2019 allege unsuitable trades and unauthorized trading. [read post]
16 Sep 2019, 10:21 am
On August 14, 2019, the Securities and Exchange Commission (“SEC”) charged Canaccord Genuity LLC (“Canaccord”) with violating gatekeeping provisions aimed to protect investors. [read post]
16 Sep 2019, 6:18 am
From November 2017 to May 2018, Sullivan was registered with Worden Capital Management LLC. [read post]
13 Sep 2019, 8:00 am
Department of Homeland Security v. [read post]
13 Sep 2019, 5:49 am
Morley (Yale Law School), on Tuesday, September 10, 2019 Tags: Arbitrage, Disclosure, Exchange-traded funds, Investment Company Act, SEC, Securities regulation, Transparency Proxy Plumbing Recommendation Posted by Anne Sheehan and John C. [read post]
12 Sep 2019, 8:47 am
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Jeffrey Nesseth (Nesseth) currently associated with Independent Financial Group, LLC (Independent Financial) out of Plano, Texas. [read post]
12 Sep 2019, 1:06 am
In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. [read post]
11 Sep 2019, 7:48 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 Franklin, Tennessee. [read post]
10 Sep 2019, 1:56 pm
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. [read post]
10 Sep 2019, 11:31 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 Franklin, Tennessee. [read post]
10 Sep 2019, 9:46 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 Franklin, Tennessee. [read post]
GPB Capital: $1.8 Billion in Private Placements Sold Yielded $167 Million in Commissions for Brokers
5 Sep 2019, 2:00 pm
While brokers and broker-dealers theoretically are allowed to collect as much as 10% in commissions for selling private placements and other non-traded securities to clients, very few investments pay such a high rate. [read post]
3 Sep 2019, 7:46 am
Third Point, which invests roughly $15 billion in securities around the world and is run by billionaire investor Daniel Loeb, will pay a civil fine of $609,810, the department said. [read post]
3 Sep 2019, 7:08 am
§5301(a)(3)(c), and because South Carolina law, which governs the contracts in question, prohibits sales of unpaid earnings and prohibits assignments of pensions as security on payment of a debt. [read post]
30 Aug 2019, 10:28 am
For IP claims in the English court other than patent and trade secrets cases, this is not a given. [read post]
28 Aug 2019, 5:24 am
LLC, and a variety of other services from the private sector. [read post]
23 Aug 2019, 12:22 pm
When brokers violate securities laws, such as making unsuitable recommendations or excessively trading accounts, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
23 Aug 2019, 3:00 am
They also questioned whether the commission’s findings would have a negative impact on corporate sponsorships of all type of government-related trade associations. [read post]
19 Aug 2019, 2:00 am
Canaccord Genuity LLC had written policies and procedures that said the right things about complying with those rules. [read post]
16 Aug 2019, 6:00 am
McKown, Jones Day, on Thursday, August 15, 2019 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Insider trading, Internal control, SEC enforcement, Securities enforcement, Sustainability More than Money: Venture Capitalists on Board Posted by Natee Amornsiripanitch (Yale University), Paul A. [read post]
