Search for: "Security Financial Fund LLC"
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22 Feb 2016, 7:04 am
FINRA alleged in the complaint that Gladden was associated with Securities Equity Group and participated in creating Church Development Fund, LLC (Church Development Fund) and a successor fund, Church Fund LLC (Church Fund) for the purposes of making loans to churches for refinancing their existing real estate loans. [read post]
19 Feb 2016, 6:07 am
Then come taxing authorities, secured creditors and unsecured creditors who have made a claim. [read post]
18 Feb 2016, 12:58 pm
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]
18 Feb 2016, 5:53 am
Our firm represents securities investors in claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
16 Feb 2016, 4:50 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
15 Feb 2016, 5:00 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]
14 Feb 2016, 12:56 pm
In October 2015, LPL Financial LLC (LPL), Andrews’ then employing brokerage firm, discharged Andrews alleging that he was terminated after the firm received allegations that the broker misappropriated funds. [read post]
12 Feb 2016, 10:15 am
In November 2015, Kuchel’s then brokerage firm LPL Financial LLC (LPL) terminated Kuchel for cause for failing to appear for an interview with FINRA. [read post]
12 Feb 2016, 6:03 am
Gladin, Sullivan & Cromwell LLP, on Saturday, February 6, 2016 Tags: Accounting, Audits, Banks, CFOs, Compliance and disclosure interpretation, Disclosure, External auditors, Federal Reserve, Financial institutions, Financial Regulation, Financial reporting, Foreign banks, Internal auditors FinCEN: Know Your Customer Requirements Posted by Dan Ryan, PricewaterhouseCoopers LLC, on Sunday, February 7, 2016 Tags: Accounting, Anti-corruption, Banks,… [read post]
12 Feb 2016, 6:03 am
Gladin, Sullivan & Cromwell LLP, on Saturday, February 6, 2016 Tags: Accounting, Audits, Banks, CFOs, Compliance and disclosure interpretation, Disclosure, External auditors, Federal Reserve, Financial institutions, Financial Regulation, Financial reporting, Foreign banks, Internal auditors FinCEN: Know Your Customer Requirements Posted by Dan Ryan, PricewaterhouseCoopers LLC, on Sunday, February 7, 2016 Tags: Accounting, Anti-corruption, Banks,… [read post]
9 Feb 2016, 9:09 am
From June 2006 until January 2011, McPherson was associated with Sammons Securities Company, LLC. [read post]
9 Feb 2016, 5:00 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]
5 Feb 2016, 6:22 am
Halliburton, Financial advisers,Fraud-on-the-Market, Halliburton, Merger litigation, Mergers & acquisitions, Rural/Metro, Section 10(b), Securities fraud,Securities litigation, Settlements, Shareholder suits, Short sales, SLUSA, Supreme Court, U.S. federal courts The New Paradigm for Corporate Governance Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Wednesday, February 3, 2016 Tags: Bebchuk-Brav-Jiang study, Board communication, Board leadership,… [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial… [read post]
4 Feb 2016, 2:43 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
3 Feb 2016, 10:42 am
Because regulators demand more capital for holding risky assets, when funds try to sell bad positions it can be harder to find buyers for the securities in those portfolios. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
3 Feb 2016, 7:27 am
The findings also stated that the firm reported municipal securities transactions to the MSRB in an untimely manner, failed to conduct supervisory reviews of MSRB Report Cards, and failed to designate a registered principal with responsibility to conduct supervisory reviews of the firm’s reporting of municipal securities transactions.Wells Fargo Securities, LLC. [read post]
3 Feb 2016, 5:00 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]
1 Feb 2016, 6:46 pm
Specifically, The White Law Group is investigating potential claims involving the following Ridgewood Energy offerings: Ridgewood Energy Bluewater Institutional Fund, LLC Ridgewood Energy Bluewater Oil Fund II LLC Ridgewood Energy Bluewater Oil Fund IV, LLC Ridgewood Energy Oil & Gas Fund II, L.P. [read post]
