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15 Feb 2018, 3:14 pm
The insureds, Platinum Management (NY) LLC and its various officers and directors (the “Insureds”), were the subject of a criminal prosecution by the United States Attorney for the Eastern District of New York, a civil enforcement action by the Securities and Exchange Commission in the same court, and a parallel civil action in Texas state court. [read post]
14 Feb 2018, 2:57 pm
The SEC alleged that Tilton and Patriarch were able to collect excessive management fees and retain control over their funds’ operation by failing to follow the valuation methodology that was laid out in their investment documents. [read post]
13 Feb 2018, 10:45 am
The post SEC Bars Former Merrill Lynch Advisor Tom Buck appeared first on White Securities Law. [read post]
12 Feb 2018, 3:02 pm
First of all, by cutting out unlawful conduct in the blockchain space, Chairman Clayton is clearing the way for a revolutionary transformation of all things fintech. [read post]
11 Feb 2018, 8:22 pm
In particular, check out the federal judiciary where Trump managed to appoint four times as many federal appeals court judges in his first year as Obama did in his first year; see here. [read post]
10 Feb 2018, 12:00 am
I will tell you that we do investment management. [read post]
9 Feb 2018, 10:56 am
A proposal backed by the Society for Human Resource Management (SHRM) is called Workflex in the 21st Century. [read post]
9 Feb 2018, 10:56 am
A proposal backed by the Society for Human Resource Management (SHRM) is called Workflex in the 21st Century. [read post]
9 Feb 2018, 7:48 am
The post Financial Advisor Victor Dandridge III Sentenced to 7 Years Federal Prison appeared first on White Securities Law. [read post]
8 Feb 2018, 6:59 pm
Department of Homeland Security. [read post]
6 Feb 2018, 3:19 pm
The post Trading Halted – ProShares Short VIX Short-Term Futures ETF appeared first on White Securities Law. [read post]
6 Feb 2018, 1:02 pm
Continue reading The post TD Ameritrade and Sheaff Brock Investment Advisors, LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
6 Feb 2018, 7:30 am
Turner & Company, LLC Wayne Earl Cooksey Christian Desmond Fautz AXA Advisors, LLC Adham Shafik Khalil Allstate Financial Services, LLC Suhail Saleem Khan LPL Financial LLC Kingsview Asset Management LLC Rick Douglas Konecny National Securities Corporation J.P. [read post]
2 Feb 2018, 2:47 pm
The post Puerto Rico’s Finances Are Anyone’s Guess appeared first on Zamansky LLC. [read post]
29 Jan 2018, 11:28 pm
” This was not the first time Chairman Clayton has raised concerns about lawyers advising purveyors of ICOs. [read post]
29 Jan 2018, 11:02 am
(Corrupción en ascenso en América Latina y el Caribe)The political context in which corruption is understood and managed has seen a fundamental transformation from the first steps to redefine the political response to corruption by the U.S. and its Foreign Corrupt Practices Act in the 1970s, to the embrace of global normative political anti-corruption rules in the form of the OECD's Anti-Bribery Convention and the UN Corruption Convention. [read post]
29 Jan 2018, 8:26 am
Tao Settles SEC Charges appeared first on White Securities Law. [read post]
27 Jan 2018, 12:00 am
Let me tackle that one first. [read post]
26 Jan 2018, 3:53 am
The post SEC Issues Alert Warning Individual Investors to Be Wary of Celebrity Endorsements appeared first on Zamansky LLC. [read post]
25 Jan 2018, 10:09 am
Securities Investor Protection Corp. [read post]
