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6 Oct 2015, 3:05 am
The government hoped to have the Supreme Court set aside the Second Circuit’s 2014 decision in the case (here), which had overturned the convictions of two hedge fund managers accused of insider trading. [read post]
4 Oct 2015, 9:11 am
From 1997 until February 2010, Benevento was a registered representative of AXA Advisors, LLC. [read post]
1 Oct 2015, 7:46 am
Morgan Securities LLC, according to industry records. [read post]
29 Sep 2015, 2:47 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]
29 Sep 2015, 7:18 am
FINRA’s investigation appears to stem from Williams’ termination from NYLife Securities LLC (NYLife) in March 2015. [read post]
28 Sep 2015, 1:03 pm
Have you suffered losses in Miasole Investments II LLC? [read post]
28 Sep 2015, 8:43 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]
26 Sep 2015, 4:37 am
Morgan Securities LLC. [read post]
24 Sep 2015, 3:03 pm
Esposito Securities, LLC, No. 05-14-01223-CV (Tex. [read post]
24 Sep 2015, 1:15 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]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
23 Sep 2015, 1:26 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]
23 Sep 2015, 5:57 am
Since 2009 Capolongo has been registered with John Thomas Financial, New Castle Financial Services LLC, EKN Financial Services Inc., National Securities Corporation, and Laidlaw & Company (UK) LTD. [read post]
21 Sep 2015, 2:41 pm
” Recent changes in securities regulations now permit the general solicitation of accredited investors under certain circumstances. [read post]
Hedge Fund Adviser’s Cert Petition Cites Federal-State Conflicts on Fiduciary Duty, Seller Liability
15 Sep 2015, 3:01 am
In September 2000, MFA agreed to become an investment adviser to a private hedge fund called Convergent and signed an agreement with Convergent’s General Partner, Emerging Health Capital Partners, LLC (EHCP). [read post]
14 Sep 2015, 4:32 pm
John Fund, Inc. [read post]
14 Sep 2015, 6:19 am
The various allegations largely regard Rainmaker Securities’ marketing and sales of the following private placement securities offerings: (a) Buttonwood Social Network Fund LLC (Facebook Fund); (b) Eudora Global LLC (Eudora Global); (c) The Incubation Factory Technology Fund, LLC (TIF Fund); and (d) The Idea Fund LLC (IDEA Fund). [read post]
11 Sep 2015, 6:16 am
New York – LLC Loophole Penalty Could Hinder NY DonorsAlbany Times Union – Chris Bragg | Publishe [read post]
11 Sep 2015, 5:41 am
Approximately two months after disclosing the customer complaint AXA Advisors, LLC (AXA) terminated Lee. [read post]
11 Sep 2015, 2:01 am
Monarch Funding Corp., 192 F.3d 295, 308 (2d Cir. 1999); Pagel Inc. v. [read post]
