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8 Feb 2019, 4:22 am
Request for rulemaking to address how digital assets are regulated once a trade occurs (Public Petition to SEC for Rulemaking)https://www.sec.gov/rules/petitions/2018/petn4-736.pdfSubmitted by Vincent R. [read post]
6 Feb 2019, 1:15 pm
” These investments included risky, non-traded real estate investment trusts (REITs.) [read post]
6 Feb 2019, 12:26 pm
Morgan Securities LLC (CRD #79) of Mineola, NY. [read post]
6 Feb 2019, 7:04 am
From August 2002 until November 2011 Ebrahimi was registered with Stone & Youngberg LLC. [read post]
5 Feb 2019, 1:33 pm
FINRA began its investigation following the filing of a Form U5 by Varghese’s member firm, Pruco Securities, LLC. [read post]
5 Feb 2019, 12:20 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]
5 Feb 2019, 11:42 am
Silver Law Group filed a claim against Arete Wealth Management, LLC alleging Arete’s broker recommended numerous unsuitable non-traded REITs and leveraged ETNs and ETFs to our elderly client. [read post]
4 Feb 2019, 5:04 pm
The Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) precludes any “covered class action” based upon state law that alleges a misrepresentation in connection with the purchase or sale of nationally traded securities. [read post]
4 Feb 2019, 2:09 pm
Philip Sparacino has seven disclosures in his 11 years in the securities industry with six different firms, according to his FINRA BrokerCheck Report, and he has worked for First Standard Financial Company LLC in Red Bank, New Jersey since July 2, 2014, FINRA notes. [read post]
2 Feb 2019, 2:03 pm
Said Order further alleges that that Welo purportedly acted as an unregistered securities agent by handling client funds and make investment recommendations, and several complaints involve alternative investments, private placements, and direct participation products (DPPs) such as non-trade REITS’s. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
31 Jan 2019, 12:59 pm
From December 2012 until September 2015 Aziz was registered with Wells Fargo Advisors Financial Network, LLC. [read post]
31 Jan 2019, 9:54 am
Peter Michael Malis (CRD #317892) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Woodland Hills, CA. [read post]
31 Jan 2019, 8:04 am
Thus, the iron condor options trade consists of four trades, or legs. [read post]
31 Jan 2019, 6:23 am
Anello Fence, LLC v. [read post]
30 Jan 2019, 1:02 pm
Stern & Co., LLC. [read post]
29 Jan 2019, 5:06 am
The CFTC also imposed permanent trading and registration bans on him. [read post]
28 Jan 2019, 11:18 am
(CRD #40077), Brookstone Securities, INC. [read post]
24 Jan 2019, 9:30 pm
Carrier and Steve Shadowen of Hilliard & Shadowen LLC in a recent article for Antitrust. [read post]
24 Jan 2019, 2:36 pm
As one former SEC Assistant Director and securities regulation scholar noted, “[Although every trade creates a record], somebody abroad could make illicit trades and send the proceeds overseas, and it’s going to be very hard to get that money back later. [read post]
