Search for: "Security Financial Fund LLC"
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3 Dec 2014, 7:05 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned brokerage firm Genworth Financial Securities Corporation (Genworth) n/k/a Cetera Financial Specialists, LLC (Cetera) concerning allegations that from July 2009, through June 2012, the firm failed to establish a supervisory system and enforce written supervisory procedures designed to identify and prevent unsuitable excessive trading and the… [read post]
25 Nov 2014, 8:09 am
In January 2013, Maleche became associated as a GSR with LPL Financial, LLC. [read post]
24 Nov 2014, 3:32 am
According to information compiled by Adam Savett, Director, Class Action Services, Kurtzman Carson Consultants (KCC), LLC, including the trial against Palaschuk, there have been only 24 securities class action lawsuits that have gone to verdict since Congress enacted the Private Securities Litigation Reform Act (PSLRA) in December 2005. [read post]
23 Nov 2014, 11:58 am
According to InvestmentNews, LPL Financial, LLC (LPL Financial) was recently fined by Massachusetts securities regulators fined for sales practices concerning variable annuities and agreed to reimburse senior citizens $541,000 for surrender charges they paid when they switched variable annuities. [read post]
12 Nov 2014, 10:48 am
The IRA owner can use his/her checkbook IRA to write checks directly from the IRA LLC into potentially more lucrative investments. [read post]
11 Nov 2014, 8:45 am
United Development Funding III UDF Land Opportunity Fund Investors, LLC Florida Capital Real Estate Partners 28, Ltd NetREIT ArciTerra Note Fund II, LLC Mewbourne Energy Partners 08-A, L.P. [read post]
7 Nov 2014, 10:14 am
According to the Order, Sands Brothers distributed the audited financial statements to their clients for 10 private funds eight (8) months late in 2010, 2011, and 2012. [read post]
3 Nov 2014, 6:52 am
The Securities and Exchange Commission announced last week that it has charged Sands Brothers Asset Management, LLC and three of its officers with violating the custody rule as it relates to firms who manage funds in which their clients invest. [read post]
3 Nov 2014, 5:42 am
Private fund managers can comply with some aspects of the custody rule by distributing audited financial statements to fund investors within 120 days of the end of the fiscal year. [read post]
29 Oct 2014, 2:41 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 Oct 2014, 10:11 am
Advisory firms with custody of private fund assets can comply with the custody rule by distributing audited financial statements to fund investors within 120 days of the end of the fiscal year. [read post]
24 Oct 2014, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) barred broker Joseph Pappalardo (Pappalardo) concerning allegations that between August 2008, and August 2012, Pappalardo, while associated with Financial Network Investment Corporation (n/k/a Cetera Advisor Network LLC), made fraudulent and misleading misrepresentations to a customer in the sale of private securities, converted customer funds for his personal use, engaged in private securities… [read post]
24 Oct 2014, 2:12 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]
21 Oct 2014, 7:38 am
Securities and Exchange Commission’s Chicago Regional Office for its cooperation and participation in the prosecution. [read post]
17 Oct 2014, 7:07 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]
10 Oct 2014, 3:43 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]
7 Oct 2014, 7:45 am
Beginning in 2009, Wilson allegedly scammed investors through his operation of The Diversified Group Advisory Fund LLC, an investment company. [read post]
7 Oct 2014, 7:31 am
LPL Financial, LLC (LPL) is one of the largest independent brokerage firms in the United States employing approximately 13,840 registered reps and advisers. [read post]
2 Oct 2014, 3:44 pm
Following registration, an investment company is required to provide annual and quarterly reports to its investors, including audited annual financial statements, which are also required to be filed with the SEC. [read post]
1 Oct 2014, 8:44 pm
In addition, self-insureds enjoy the benefit of investment income on funds that are set aside to pay claims. [read post]
