Search for: "Private Money Exchange, LLC" Results 261 - 280 of 684
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23 Mar 2017, 7:52 am by Renae Lloyd
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%. [read post]
7 Nov 2009, 7:50 am
Slowey, Jr. and the companies he controls - Endeavor Partners, LLC and Endeavor Capital Management Group, LLC - along with Advanced Planning Securities (APS), Oldham Harris and brokers Edward Puttick, Gregory Oldham and Glenn Harris for allegedly swindling retirees and senior citizens out of nearly $12 million. [read post]
7 Mar 2016, 7:26 am by Mark Astarita
  Wells Fargo also is charged with violations of Section 15B(c)(1) of the Securities Exchange Act of 1934 and Rules G-17 and G-32 of the Municipal Securities Rulemaking Board (MSRB). [read post]
31 May 2021, 1:11 pm by Staff Attorney
  Investors often fail to understand that they have lost money until many years after agreeing to the investment. [read post]
6 Jul 2016, 9:49 am by Green, Schafle & Gibbs
The findings also stated that the firm and Zipper failed to establish, maintain and enforce an adequate supervisory system to ensure that business-related text messages were subject to retention and supervision.PTX Securities, LLC (CRD #7735, Plano, Texas)The firm consented to the sanctions and to the entry of findings that it failed to conduct adequate due diligence on oil and gas private placement offerings of an issuer into, among other things, the potential impact of an adverse… [read post]
24 Dec 2014, 10:54 pm by Arina Shulga
(May 29, 1997), Angel Capital Electronic Network (October 25, 1996), FundersClub Inc. and FundersClub Management LLC (March 26, 2013) and AngelList LLC and AngelList Advisors LLC (March 28, 2013). [read post]
16 Nov 2018, 12:41 pm by Green, Schafle & Gibbs
Lincoln Investment Planning, LLC (CRD #519, Fort Washington, Pennsylvania) Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to implement reasonably designed surveillance procedures to monitor its registered representatives’ rates of effecting variable annuity exchanges. [read post]
22 Aug 2017, 9:10 am by Wolfgang Demino
“Many of these documents are on file with the Securities and Exchange Commission and can be view on its website. [read post]
13 Jan 2011, 11:45 pm by Chris Carey
(Disclosure: Mark Cuban, majority owner of Sharesleuth.com LLC, has no position in the shares of any of the companies mentioned in this report. [read post]
21 Sep 2010, 11:00 am
  Righthaven LLC (“Righthaven”), a Las Vegas-based startup, wants your money and it will take you to federal court to get it. [read post]
13 Sep 2010, 1:04 am by Chris Carey
Orr also pleaded guilty to a criminal charge of conspiracy to launder money. [read post]
5 Oct 2022, 1:13 pm by Staff Attorney
  Investors often fail to understand that they have lost money until many years after agreeing to the investment. [read post]
2 May 2008, 6:14 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
10 Jul 2019, 4:17 am by Hedge Fund Lawyer
  For many groups, this means raising money through general private placements or various SAFTs (simple agreement for future tokens)  and SAFEs (simple agreement for future equity). [read post]
7 Jan 2019, 8:10 am by Green, Schafle & Gibbs
We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities. [read post]
9 Feb 2023, 11:27 am by The White Law Group
Securities Attorney to Recover Investment Losses   Investors may lose money due to broker negligence or investment fraud. [read post]
26 Sep 2022, 7:33 am by Grace Schepis
[The firm] has broad experience representing hedge fund and private equity firms in a variety of disputes . . . [read post]
16 Mar 2015, 7:10 pm
Doug Johnston (through Five Management, LLC) is an expert witness in banking/lending and an investigative business consultant specializing in Commercial Banking & Lending, Private Equity, and International Banking. [read post]