Search for: "Security Financial Fund LLC"
Results 2961 - 2980
of 3,787
Sort by Relevance
|
Sort by Date
5 Jun 2012, 8:14 am
Bustillo, Regional Director, Securities and Exchange Commission (SEC), Southeast Region; and Linda Charity, Interim Commissioner, State of Florida's Office of Financial Regulation (OFR), announced the most recent results of the Southern District of Florida Securities and Investment Fraud Initiative (the Initiative), first announced in December 2010 and designed to combat securities and investment fraud and protect the interests of the investing public. [read post]
31 May 2012, 11:22 am
Shields, Sims, and Stafford allegedly engaged in securities fraud targeting elderly investors by encouraging those elderly investors to cash out their individual retirement accounts (IRAs) and wire the proceeds to the S3 Partners for the purchase of shares in an S3 Partners-controlled LLC. [read post]
30 May 2012, 3:03 pm
RadLAX Gateway Hotel, LLC v. [read post]
30 May 2012, 6:10 am
The SEC’s investigation found that Quantek Asset Management LLC executives lied about fund managers having “skin in the game” along with investors in the $1 billion Quantek Opportunity Fund. [read post]
30 May 2012, 3:00 am
PricewaterhouseCoopers (PWC), 11-1204-cv (2d Cir. 2012) (Summary Order), addresses the viability of claims against Canadian-organized PWC for fraud and negligence arising from PWC’s unqualified audit reports attensting to the accuracy of one of the “feeder funds” into Bernard Madoff Investment Securities, LLC, which, as the Second Circuit says, “was later revealed to be a Ponzi scheme”. [read post]
24 May 2012, 8:56 am
The government claimed that, in reality, only a small percentage of investors' funds were actually invested with Trade LLC. [read post]
24 May 2012, 6:51 am
Lack of transparency in the financial markets is called opaqueness. [read post]
23 May 2012, 1:07 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 May 2012, 1:37 pm
In addition to Hutcheson, defendants include Hutcheson Walker Advisors LLC; Green Valley Holdings LLC; and the Retirement Security Plan and Trust, formerly known as the Pension Liquidity Plan and Trust. [read post]
15 May 2012, 9:14 am
However, ultimately $44 million in forfeited funds is "being returned to 112,210 victims who incurred losses on Qwest securities purchased during the fraud scheme. [read post]
10 May 2012, 5:56 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]
9 May 2012, 7:13 am
Waters Capital LLC ("Waters Capital"), have been charged by the Securities and Exchange Commission ("SEC") with creating bogus private placements - Port Huron Partners LP and Port Huron Partners II LP (collectively "Port Huron Funds") - and bilking investors out of at least $780,000. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
2 May 2012, 11:54 am
The biggest concern is losing a device that is not fully secure if lost. [read post]
2 May 2012, 11:29 am
City Trading LLC (PDF) European Commission Calls for Delay in Implementation of U.S. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
Inverse ETFs, also called "short" funds, use various financial derivatives to profit from a decline in the value of an underlying index. [read post]
2 May 2012, 5:00 am
• Reviewing your firms valuation policies and processes • Conducting your review throughout the year versus all at once Moderator: Charles Lerner, Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance Companion & Principal, Fiduciary Compliance Associates LLC Panel Members Nicholas Denton-Clark, Managing Director & Chief Compliance Officer, PineBridge Investments LLC Kelly S. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
