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17 Feb 2020, 6:48 am
He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. [read post]
22 Mar 2024, 7:22 am
The Constantine Cannon whistleblower team is pleased to announce a $70 million settlement for its client Edelweiss Fund LLC in a whistleblower lawsuit against eight of the nation’s largest banks, making it the largest reported settlement ever under the Illinois False Claims Act. [read post]
17 May 2022, 12:30 pm
Bond-Nelson, Tournant manipulated numerous financial reports and other information provided to investors to conceal the magnitude of Structured Alpha’s true risk and the funds’ actual performance. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
8 Dec 2013, 4:42 pm
” “Nino de Guzman’s scheme stole the dream of retirement and financial security from his victims,” said Steven J. [read post]
24 Aug 2018, 12:43 pm
CV MC REIT noted the modifications are made in the wake of financial difficulties encountered with the REIT’s major tenant, Bay Area Regional Medical Center. [read post]
12 Jan 2016, 2:29 pm
Our thorough knowledge of securities law’s history and fine points makes us ideal consultants for investors who have suffered losses due to misadvice from their broker or other financial counsel. [read post]
8 Mar 2022, 12:10 pm
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
8 Mar 2022, 8:10 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
21 Jul 2014, 7:21 am
The SEC found that many of Bell and Josephberg’s clients invested their retirement funds in CodeSmart. [read post]
22 Jul 2014, 7:00 am
Moreover, in 2006, the NASD found that Josephberg opened approximately 28 accounts for sever hedge fund clients in order to market time mutual funds. [read post]
1 Dec 2020, 11:48 am
Advisor Darrin Cohn (Cohn), currently employed by Triad Advisors LLC (Triad Advisors) has been subject to at least two customer complaints during the course of his career. [read post]
22 Feb 2008, 6:10 am
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]
6 Jan 2016, 3:48 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
2 Jun 2014, 2:34 pm
Have you suffered losses on investments made through former broker Reniero Francisco, the president of Arista, LLC? [read post]
14 Sep 2011, 7:15 am
LLC, 2011 U.S. [read post]
27 Feb 2012, 1:16 pm
Acquiring interests in such securities through a pooled investment or single security “fund” introduces another layer of costs to the investor as well as risk associated with the fund manager. [read post]
29 Feb 2016, 4:43 pm
Laborers District Council Construction Industry Pension Fund, 135 S.Ct. 1318 (2015). [read post]
29 Jul 2024, 6:57 am
The settlements announced by FINRA were with NatCity Investments, Inc. of Cleveland, which was fined $300,000; M&T Securities, Inc. of Buffalo, which was fined $200,000; Janney Montgomery Scott LLC of Philadelphia, which was fined $200,000, and M&I Financial Advisors, Inc. of Milwaukee, which was fined $150,000. [read post]
15 Feb 2010, 3:00 am
The definition included conviction for felony or violation of securities laws, fraud, or "a material breach of this Agreement. [read post]
