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9 Nov 2010, 8:10 am
The Securities and Exchange Commission has established a fund of over $450 million to pay whistleblowers whose information leads to the successful penalization or conviction of companies or individuals found guilty of securities fraud.The fund has been established in accordance with the Dodd-Frank financial overhaul bill enacted in July, which will also establish a new whistleblower office at the SEC.The fund is required to have a minimum of $300 million;… [read post]
2 Sep 2022, 8:13 am
Securities Investigation: Broadway Strategic Return Fund LP According to an SEC litigation release, on September 1, 2022, the Securities and Exchange Commission reportedly announced that it has filed an action against two Managing Partners of Broadway Strategic Return Fund, LP, a fund that invests in securities related to theatrical productions, allegedly seeking an order directing them to comply with investigative subpoenas for… [read post]
22 Jun 2010, 12:45 pm
As previously reported, the SEC proposes amendments to rule 482 under the Securities Act of 1933 and rule 34b-1 under the Investment Company Act of 1940 that, if adopted, would require a target date retirement fund that includes the target... [read post]
12 Jun 2018, 5:58 am
The post UDF Income Fund V – Securities Fraud Investigation appeared first on White Securities Law. [read post]
22 Feb 2010, 5:01 am
The 1998 Securities Litigation Uniform Standards Act does not preclude investors’ securities fraud claims against the administrators of hedge funds whose portfolios include covered securities, the U.S. [read post]
28 Mar 2023, 6:00 am
Some of the funding for Social Security programs does not come from discretionary spending, but rather mandated funding through payroll taxes. [read post]
2 Jan 2019, 8:58 am
The website will not be managed or updated until after funding is restored. [read post]
5 Jul 2012, 4:29 am
Maddox Hargett & Caruso, P.C. currently is investigating investor losses related to the 1861 Capital Management Funds and allegations that the funds were marketed and sold by UBS and various broker/dealers as safe, secure, and low-risk when in reality they were highly leveraged municipal arbitrage funds. [read post]
3 Dec 2022, 10:09 am
Investors in private placement securities including Madison Funding I bonds and Poet’s Walk Funding I bonds, may have legal claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
2 Mar 2015, 2:31 pm
SSA is the same agency that oversees Social Security Retirement benefits; however, funding does not come from the same source. [read post]
29 Sep 2004, 1:28 pm
In Wednesday's corporations and securities law news, SEC officials in Boston are investigating roughly two dozen mutual fund firms for any improper trading by fund managers, traders and other insiders over the past three years. [read post]
23 Sep 2020, 8:43 am
appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Dec 2016, 1:00 am
Over the past two decades, there has been a push by the Securities and Exchanges Commission towards more independent mutual fund boards with the intent of improving fund governance. [read post]
14 Jan 2016, 11:27 am
The Fund invests at least 80% of its net assets plus borrowings used for investment purposes in gold and securities of companies located throughout the world that are engaged in mining or processing gold (“Gold Related Securities”). [read post]
14 Apr 2020, 7:55 am
The post SQN Venture Income Fund LP Securities Investigation appeared first on The White Law Group. [read post]
3 Jan 2011, 5:45 am
The basic problem here is that Bulldog lost its exemption when it generally advertised its fund through its website and followup email. [read post]
10 Jun 2024, 7:12 am
Securities and Exchange Commission probe by directing a colleague to lie. [read post]
10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
