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29 Jan 2018, 11:02 am
But consistent with the existent regime for other crimes, the law creates a standard of strict liability: legal persons are liable for the aforementioned crimes committed, directly or indirectly, with their intervention or in their name, interest or benefit (Article 2).This approach is consistent with the standard of corporate liability already in force for other crimes, such as custom’s crimes, tax crimes, money laundering, insider trading, and securities… [read post]
28 Jan 2018, 4:51 pm
There is a post about this communication on the Privacy & Information Security Law Blog. [read post]
27 Jan 2018, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
26 Jan 2018, 6:32 am
Katz and William Savitt, Wachtell, Lipton, Rosen & Katz, on Monday, January 22, 2018 Tags: Hedge funds, Insider trading, Institutional Investors, Merger litigation, Mergers & acquisitions, Securities enforcement, Securities litigation, Securities regulation, Settlements, Shareholder activism, Tender offer Common-Ownership Concentration and Corporate Conduct Posted by Martin C. [read post]
24 Jan 2018, 11:20 am
Furthermore, brokers are prohibited from engaging in underhanded businesses practice, like churning or unauthorized trading, that violate securities laws and regulations. [read post]
24 Jan 2018, 6:30 am
Allegations include unsuitable and excessive trades among others. [read post]
23 Jan 2018, 7:14 am
Lott has been in the securities industry for over 30 years and was previously registered with Copeland Equities Inc., Sunamerica Securities, Inc., AIG Financial Advisors, Inc., LPL Financial LLC, and Girard Securities, Inc. [read post]
20 Jan 2018, 12:00 am
” Helping you keep your legal ducks in a row and your nest egg secure with your host Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
18 Jan 2018, 10:20 am
Wales LLC, 993 F. [read post]
17 Jan 2018, 1:55 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
17 Jan 2018, 6:23 am
LLC from 1998 to 2012, Aegis Capital Corp. from 2012 to 2016, and National Securities Corporation from 2016 to 2017. [read post]
17 Jan 2018, 6:21 am
Previous registrations include Oppenheimer & Co., Wayne Hummer Investments LLC, Vision Investment Services Inc., Northern Trust Securities Inc., Invest Financial Corporation, Charter One Securities Inc., Investment Network Inc., Forth Financial Securities Corporation, Marketing One Securities Inc., and Investment Network Inc. [read post]
15 Jan 2018, 9:55 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 2018, 3:50 am
In another recent case, the Securities and Exchange Commission (SEC) has accused a broker and his investment firm of raising $3.4 million from investors through the sale of unregistered securities. [read post]
11 Jan 2018, 7:23 am
Third, within the Department of Treasury is the Office of Foreign Assets Control (“OFAC”) that administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals. [read post]
11 Jan 2018, 7:23 am
Third, within the Department of Treasury is the Office of Foreign Assets Control (“OFAC”) that administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals. [read post]
9 Jan 2018, 9:21 am
Non-traded REITs like Lightstone Value Plus REIT V often lack liquidity. [read post]
9 Jan 2018, 7:08 am
Specifically, last summer it granted LedgerX LLC’s application to register as a swap exchange facility and a derivatives clearing organization to trade and clear options on bitcoin, among other things. [read post]
5 Jan 2018, 6:43 pm
” The definition also includes a trade or business where the performance of services consists of investing and investment management trading or dealing in securities, partnership interests, or commodities. [read post]
4 Jan 2018, 9:44 am
According to BrokerCheck records financial advisor Jeffrey Wilson (Wilson), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to four customer complaints. [read post]
