Search for: "Security Financial Fund LLC"
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14 Jul 2008, 7:23 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
27 Dec 2022, 10:10 am
(CRD#:37031), Scottsdale, AZ, B, 01/08/2014 – 06/19/2015, USA FINANCIAL SECURITIES CORPORATION (CRD#:103857), PEORIA, AZ B, 03/29/2002 – 12/31/2013, CETERA ADVISOR NETWORKS LLC (CRD#:13572), SCOTTSDALE, AZ Coggeshall reportedly has three customer complaints filed against him. [read post]
24 Mar 2023, 7:11 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
Attorney General Letitia James Strikes Again: $50 Million Settlement Reached with Crypto Firm Gemini
20 Jun 2024, 7:11 am
In another significant victory for cryptocurrency investors (following this one we wrote about 3 weeks ago), New York Attorney General Letitia James has secured at $50 million settlement from Gemini Trust Company, LLC. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
7 Jun 2019, 6:09 am
Securities & Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation The Past and Present of Mutual Fund Fee Regulation Posted by Quinn Curtis (University of Virginia), on Thursday, June 6, 2019 Tags: Asset management, Fiduciary duties, Fund… [read post]
13 Nov 2019, 6:24 am
She recommends to shift regulation from the time of offer to the time of sale, and that there should be no prohibitions on general solicitation anywhere in the exempt offering framework.As to the accredited investor definition, Hanks recommends:Keep the existing financial qualification, but index it to inflation from now on;Add accreditation by means of a securities specific educational qualification, such as holding CFA designation or certain FINRA licenses;Add accreditation by… [read post]
28 Apr 2010, 2:36 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
23 Jun 2021, 7:41 am
Here at Cosgrove Law Group, LLC, we have substantial experience dealing with fraud related to brokers and financial professionals. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products;… [read post]
10 Dec 2019, 7:59 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]
22 Nov 2018, 7:11 am
Under the securities laws financial advisors must conduct due diligence and have a reasonable basis for their investment recommendations. [read post]
7 Apr 2017, 6:00 am
Michael Sirkin and Nick Mozal, Ross Aronstam & Moritz LLP, on Wednesday, April 5, 2017 Tags: Corporate fraud, Delaware cases, Delaware law, Disclosure, Duty of loyalty, Financial reporting, In re Revlon, Information asymmetries, Management, Merger litigation, Mergers & acquisitions, Restatements, SEC, SEC enforcement, Securities damages, Securities regulation, Settlements, Shareholder suits, Shareholder voting Poisoned Chalice? [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
2 Jun 2017, 6:25 am
Roe, Harvard Law School, on Friday, May 26, 2017 Tags: Bankruptcy, CHOICE Act, Dodd-Frank Act, FDIC, Financial crisis, Financial institutions, Financial regulation, Liquidation, Restructurings, SIFIs, Systemic risk Potential Regulatory Relief—Financial CHOICE Act 2.0 Posted by John Ellerman, Pay Governance LLC, on Saturday, May 27, 2017 Tags: CHOICE Act, Clawbacks, Compensation disclosure, Compensation ratios, Dodd-Frank Act, Executive… [read post]
10 Apr 2018, 8:18 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 Vero Beach, Florida. [read post]
22 May 2017, 8:05 am
FCIC noted that it was unable to complete the timely filing of Form 10-Q due to the March 28, 2017 transaction in which First Capital Real Estate Investments, LLC acquired the membership units of Freedom Capital Investment Management LLC (FCIM), and Democracy Funding LLC. [read post]
29 Nov 2021, 7:15 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]
4 Feb 2015, 1:12 pm
Second, the consent order states that the Continental cardholder agreements for secured and partially secured cards represented that a cardholder’s security deposit would be held in an FDIC insured financial institution. [read post]
16 Jul 2009, 2:37 am
The stipulation also provides that the security for the note will be provided either by a letter of credit or by a security interest in JMI Holdings LLC’s economic interest in a San Diego hotel. [read post]
