Search for: "Security Financial Fund LLC"
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13 Feb 2015, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former LPL Financial LLC (LPL) broker Marc Baldinger (Baldinger) concerning allegations that between August 2010 and November 2012, Baldinger participated in private securities transactions (a/k/a “selling away”) without prior approval of LPL. [read post]
12 Feb 2015, 10:33 am
Harbert Private Equity Fund, II, LLC, 2013 NCBC 17. [read post]
5 Feb 2015, 12:13 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]
4 Feb 2015, 1:12 pm
Second, the consent order states that the Continental cardholder agreements for secured and partially secured cards represented that a cardholder’s security deposit would be held in an FDIC insured financial institution. [read post]
3 Feb 2015, 2:59 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]
3 Feb 2015, 1:16 pm
Standard & Poor’s Financial Services LLC (S&P) and its parent company, McGraw-Hill Financial Inc., entered into a $210 million settlement to resolve federal and state civil claims related to S&P’s conduct in inflating ratings of residential mortgage-backed securities and structured investment vehicle notes. [read post]
29 Jan 2015, 6:38 am
Other providers who have lost Medicaid and Medicare funding have found it very difficult to bring themselves back into full compliance and restore those funds. [read post]
28 Jan 2015, 1:24 pm
Some of the leading cases include the following: Choice Escrow and Land Title, LLC v. [read post]
25 Jan 2015, 6:05 pm
McCloskey owned a real estate development business known as the McCloskey Group, LLC. [read post]
20 Jan 2015, 2:49 pm
The exemption, available to Massachusetts-based corporations, LLPs and LLCs, allows the issuers to: (1) offer both equity and debt securities on the Internet; and (2) raise up to $1 million in a 12-month period, and up to $2 million if they have audited financial statements. [read post]
19 Jan 2015, 8:04 am
Securities and Exchange Commission. [read post]
16 Jan 2015, 9:07 pm
In November 2008, Duckson used a company named Transactional Finance Fund Management, LLC (“TFFM”), which he owned and controlled, to serve as the Fund’s investment advisor. [read post]
16 Jan 2015, 10:59 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]
12 Jan 2015, 10:09 am
Gatling is a member of the Board of Trustees for the New York Lawyers’ Fund for Client Protection. [read post]
5 Jan 2015, 8:00 am
The pins are a crucial piece of safety-oriented equipment that helps secure the wings of F-15 fighter planes. [read post]
4 Jan 2015, 12:20 pm
” Hurt held himself out as Vice President of Brightway Financial Group, LLC, a company that used a business addresses in Grapevine, Texas. [read post]
24 Dec 2014, 8:10 am
Beginning in 2009 and continuing through June 2011, Belzner and McCloskey persuaded a number of private lenders to loan funds to the McCloskey Group to establish that it had cash reserves or “liquidity” in connection with its efforts to secure funding for real estate development projects through IAGU. [read post]
22 Dec 2014, 10:10 am
McCloskey owned a real estate development business known as the McCloskey Group, LLC. [read post]
17 Dec 2014, 8:10 am
LPL Financial LLC Maitland Securities, Inc. [read post]
4 Dec 2014, 5:21 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Essex Securities, LLC (Essex Securities) alleging that from February 2010, through March 2011, Essex Securities through one of its brokers violated industry rules by engaging in a pattern of unsuitable mutual fund switching, a form of churning, in the accounts of seven customers. [read post]
