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31 Dec 2010, 8:41 pm
The complaint also alleges that Saleh engaged in a pattern of withdrawing funds from annuities primarily to raise cash, with which she generated production credits and applied the proceeds to purchase of Closed-End Funds, Unit Investment Trusts, and mutual funds or reverse convertibles and then engaged in unsuitable excessive and short-term trading, causing the customer to incur cost with no substantial benefit for their portfolios. [read post]
12 Mar 2009, 12:10 pm
Madoff Securities LLC. [read post]
14 Mar 2022, 1:59 pm
Financial Lines, and Dan Bailey, Member of Bailey Cavalieri LLC, take a look at the Delaware captive legislation and raise a number of concerns about the new law. [read post]
22 May 2009, 10:10 am
The violation is against the Securities Act of 1933 and Delaware law. [read post]
25 Sep 2020, 6:31 am
Scott (Harvard Law School) and John Gulliver (Program on International Financial Systems), on Monday, September 21, 2020 Tags: Capital markets, DOL, ERISA, Fund performance, Investor protection, Private equity, Retail investors, Retirement plans, SEC, Securities regulation ESG Disclosures: Frameworks and Standards Developed by Intergovernmental and Non-Governmental Organizations Posted by Mark S. [read post]
22 May 2021, 9:39 am
Former broker Isaiah Goodman, doing business through Becoming Financial Advisory Services, LLC, allegedly misrepresented to his clients that he would invest their funds in securities such as mutual funds and stocks for their retirement and investment accounts. [read post]
22 May 2021, 9:39 am
Former broker Isaiah Goodman, doing business through Becoming Financial Advisory Services, LLC, allegedly misrepresented to his clients that he would invest their funds in securities such as mutual funds and stocks for their retirement and investment accounts. [read post]
26 Jun 2017, 12:31 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]
30 Dec 2013, 4:56 am
Oliver and Mausner were improperly using client funds for their benefit," said Marshall S. [read post]
22 Jul 2019, 10:42 am
These women want to protect their independence and ensure their future financial security, particularly if they plan to take a time-out from their career to be a full-time mother. [read post]
1 Feb 2019, 10:51 am
Securities regulation in virtual space. [read post]
18 May 2018, 6:01 am
Posted by David Ingles and Sven Mickisch, Skadden, Arps, Slate, Meagher & Flom LLP, on Monday, May 14, 2018 Tags: Banks, Capital requirements, Dodd-Frank Act, Financial institutions, Financial regulation, Liquidity, Mergers & acquisitions, SIFIs, Stress tests Discovery Trends in Litigation Finance Arrangements Posted by Alan R. [read post]
21 May 2021, 5:54 am
Cottingham, Jenner & Block LLP, on Sunday, May 16, 2021 Tags: Accounting, Banks, Beneficial owners, Corporate Transparency Act, Disclosure, Financial institutions, Financial regulation, Financial reporting, FinCEN, LLCs, Money laundering SEC Considering Heightened Scrutiny of Projections in De-SPAC Transactions Posted by George Casey, Adam Hakki, and Roger Morscheiser, Shearman & Sterling LLP,… [read post]
28 Nov 2023, 1:52 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
14 May 2014, 4:19 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 Boca Raton, Florida. [read post]
21 Jan 2024, 8:40 am
Our experience in elder care law and Medicaid planning can make a significant difference in securing the care and support you or your loved ones need. [read post]
7 Mar 2017, 4:28 pm
A POWERFUL TOOL Restoring the SEC’s ability to enter public-private partnerships with top-tier securities firms would give the SEC a powerful enforcement tool without requiring a dime of additional government funding. [read post]
2 Jan 2013, 3:25 am
Prospective victims are told that low-income Social Security recipients are eligible for a cash benefit under a federal stimulus funds program. [read post]
14 Sep 2022, 3:20 am
” New Jersey’s rigorous enforcement of employee classification laws protects workers and law-abiding employers alike because misclassification extracts a financial toll on both good actor employers and misclassified workers who shoulder the additional risk and financial responsibility. [read post]
10 Mar 2020, 6:22 am
The broker buys or sells securities without the client’s permission. [read post]
