Search for: "Security Financial Fund LLC"
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10 Mar 2017, 6:09 am
Securities-Based Crowdfunding Posted by Kara M. [read post]
7 Mar 2017, 4:28 pm
A POWERFUL TOOL Restoring the SEC’s ability to enter public-private partnerships with top-tier securities firms would give the SEC a powerful enforcement tool without requiring a dime of additional government funding. [read post]
6 Mar 2017, 4:26 pm
Supreme Court held that the U.S. securities laws do not apply extraterritorially. [read post]
3 Mar 2017, 6:16 am
Berman, Vinson & Elkins LLP, on Saturday, February 25, 2017 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Cybersecurity, Duty to inform, FCPA, Financial advisers, Private equity, Private funds, SEC, SEC enforcement, Securities enforcement, Securities regulation Should Mutual Funds Invest in Startups? [read post]
1 Mar 2017, 9:30 am
As summarised in an Isle of Man judgment, the scheme resembled a “Ponzi” scheme in that apparent repayments to HC were in fact funded in a circular way by HC itself: see paragraph 30 of the judgment of His Honour Deemster Corlett, Heather Capital Limited v KPMG Audit LLC, 17 November 2015. [9] A third party, Nicholas Levene, was a participant in the scheme. [read post]
1 Mar 2017, 6:06 am
A key issue is how much to you trust your beneficiary’s to make the financially sound decision of a stretch IRA and how much can you rely on them to make the required timely elections and transfers to secure the continued tax deferral? [read post]
1 Mar 2017, 6:06 am
A key issue is how much to you trust your beneficiary’s to make the financially sound decision of a stretch IRA and how much can you rely on them to make the required timely elections and transfers to secure the continued tax deferral? [read post]
21 Feb 2017, 1:58 pm
(Manuel Balce Ceneta/Associated Press) Tuesday, in Perry Capital LLC v. [read post]
21 Feb 2017, 8:21 am
In addition, limited partnerships offer extremely high commission fees that are often 3-4x higher than more traditional investments, like mutual funds or bonds. [read post]
17 Feb 2017, 1:28 pm
Both managers and investors in EB-5 investment funds should continuously monitor and evaluate the progress of their EB-5 projects, and collect documentation of transfers of EB-5 funds, payments of project expenditures, and other financial records that will be required as part of the I-829 petitions. [read post]
17 Feb 2017, 1:28 pm
Both managers and investors in EB-5 investment funds should continuously monitor and evaluate the progress of their EB-5 projects, and collect documentation of transfers of EB-5 funds, payments of project expenditures, and other financial records that will be required as part of the I-829 petitions. [read post]
17 Feb 2017, 1:22 pm
However, according to FINRA BrokerCheck, Howard was registered as a financial advisor with One America Securities in Dallas Texas, from 03/26/2010 – 02/23/2015. [read post]
15 Feb 2017, 7:53 am
Half of the FICA taxes, which fund Social Security and Medicare, are the employer’s responsibility while the other half is the employee’s responsibility. [read post]
15 Feb 2017, 7:53 am
Half of the FICA taxes, which fund Social Security and Medicare, are the employer’s responsibility while the other half is the employee’s responsibility. [read post]
13 Feb 2017, 11:00 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]
9 Feb 2017, 1:23 pm
Second, Shudak managed investor funds poorly. [read post]
9 Feb 2017, 7:19 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]
7 Feb 2017, 1:31 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 Vero Beach, Florida. [read post]
6 Feb 2017, 7:20 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial). [read post]
29 Jan 2017, 12:40 pm
TIAA-CREF Individual & Institutional Services, LLC (CRD #20472 , New York, New York) submitted an AWC in which the firm was censured and fined $275,000. [read post]
