Search for: "Security Financial Fund LLC"
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19 Sep 2013, 9:20 am
September 18, 2013 The Securities and Exchange Commission (SEC) charged Shadron Stastney, a partner at a New York based hedge fund, Vicis Capital, LLC with breaching his fiduciary duties by engaging in undisclosed principal transactions in which he had a personal financial interest. [read post]
11 Sep 2013, 2:07 pm
The Griphon Funds were based in Portland, Organ and managed through Grifphon Assets Management, LLC and Grifphon Holdings, LLC. [read post]
7 Sep 2013, 7:42 am
Wellco Energy, LLC – the SEC alleged that the promoters misrepresented that investors’ funds would be used for oil and gas wells when, in fact, 58% of money raised went to pay sales fees as well as the promoter’s personal mortgage and child support. [read post]
4 Sep 2013, 12:21 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]
3 Sep 2013, 8:13 am
Shifman worked with Cornerstone Financial Services from October 2007 to June 2008, and Argentus Securities from July 2008 to present. [read post]
30 Aug 2013, 10:12 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 Boca Raton, Florida. [read post]
15 Aug 2013, 3:10 pm
An affiliate of Century Realty Funds, Odyssey Diversified IX, LLC, filed for chapter 11 bankruptcy back in 2012 along with Odyssey Diversified VI and VII. [read post]
6 Aug 2013, 9:58 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
5 Aug 2013, 5:00 am
The custody rule provides an exception from the custodian requirement for a fund in the case of certain privately offered securities it holds, provided the fund’s financial statements are audited. [read post]
31 Jul 2013, 5:10 pm
The four plan sponsors are closely affiliated with Lexington-based Revstone Industries LLC and Spara LLC. [read post]
29 Jul 2013, 12:33 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
28 Jul 2013, 10:20 pm
After all, what does regulatory oversight of hedge funds have in common with regulation of securities brokers or insurance companies? [read post]
24 Jul 2013, 12:42 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]
22 Jul 2013, 4:01 pm
This was republished (under the title of “Excluding Assets from a Personal Guaranty”) by the following committees: Insolvency Law Committee, Commercial Transactions Committee, Financial Institutions Committee, and Partnerships & LLCs Committee. [read post]
22 Jul 2013, 5:00 am
I suppose that if Bernie Madoff set up Scumbag Bernie Investor LLC to invest in the fund that would be a mere facade to hide his ownership. [read post]
18 Jul 2013, 3:00 pm
---------The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement Attoreys. [read post]
15 Jul 2013, 3:13 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]
15 Jul 2013, 10:21 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 Boca Raton, Florida. [read post]
11 Jul 2013, 10:31 am
Hall Builders; PEELE, operating through P.A.P’s Custom Home Builders, LLC and C and P Custom Homes, LLC; and MALDINI, operating through NY Construction, LLC, unlawfully profited from the sale of properties purchased or developed by the conspirators to individuals who did not have the financial means to purchase the properties, identified in the charging documents as “straw buyers”. [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
