Search for: "Security Financial Fund LLC"
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4 Nov 2011, 10:48 am
UBS Securities LLC was fined $12 million and censured by the Financial Industry Regulatory Authority, or FINRA, for widespread system deficiencies and a failure to supervise that led to tens of millions of improper short sales. [read post]
3 Nov 2011, 8:21 am
Yet, short sale sellers are often too financially strained to hire experts to advise them on the complicated financial, legal, tax, credit, and other issues raised by their situations. [read post]
1 Nov 2011, 7:44 am
Also good reading: this Wiki-leaks cable written August 13, 2009, days after Thailand issued its first ruling against extradition, suggesting the U.S. tell Thailand it will re-evaluate its financial commitment to Thailand's narcotics efforts if it doesn't buckle up, and then suggesting Obama or Holder intervene: We suggest that Washington strongly consider the following actions: -- In addition to the Department calling in the Thai Ambassador, we recommend that Attorney General… [read post]
31 Oct 2011, 12:36 pm
While it isn’t rare for some funds to be MIA when a financial firm falters, the mount of money missing from the broker-dealer is disturbing. [read post]
26 Oct 2011, 7:02 am
Richard Shepherd – Former Vice-President and General Counsel for Saxon Mortgage (now Morgan Stanley) Margery Golant – Former Assistant General Counsel at Ocwen Financial Corporation and Department Manager of a major plaintiff? [read post]
21 Oct 2011, 2:03 pm
As noted previously, Simone eventually began working for Salomon Whitney LLC. [read post]
17 Oct 2011, 7:27 am
Court of Appeals in Manhattan to overrule a decision by the Financial Industry Regulatory Authority, the independent regulatory group for the securities industry. [read post]
14 Oct 2011, 2:10 pm
On the opposite side are the creditors of Bayou Group LLC, which accused Goldman Sachs Execution & Clearing LP of ignoring signs of fraud at the hedge fund run by Samuel Israel III before it imploded in 2005. [read post]
14 Oct 2011, 11:24 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Societe Generale SA and affiliates to pay $61 million to Aurum STS Aggressive Trading LLC, a California fund manager. [read post]
12 Oct 2011, 3:53 pm
Key practice areas include corporate & commercial, banking & finance, investment funds, litigation & insolvency and private client... [read post]
10 Oct 2011, 1:10 pm
Over the 10 years the scheme went on, May diverted and misappropriated funds invested in the LLCs for his own personal use and for the use of his company, the U.S. [read post]
2 Oct 2011, 7:23 am
Morgan Securities structured and marketed). [read post]
29 Sep 2011, 7:35 am
Of course our first job is to teach our children directly the financial lessons that will help them in life. [read post]
28 Sep 2011, 2:27 pm
Hansen, Glenn Griffin, Vincent Puma, Kevin Nugent, Ward Onsa, Hudson Partners NYC, Spicer Jeffries LLP, SFG Accounting PLLC, Man Financial Inc., Permapave USA Corp., Verigreen, Steller Corporation Services, Capstone Investment Funds LLP, Meidinger & Associates CPA'S Prof LLC, Susan Meidinger, CPA, and Entrust Group dba Entrust Retirement Services. [read post]
28 Sep 2011, 2:02 pm
The SEC order stated that RBC knew the school districts were risking their entire pension fund portfolio. [read post]
28 Sep 2011, 8:14 am
RBC Capital settled by agreeing to: (1) cease and desist from committing or causing any violations of Sections 17(a)(2) and 17(a)(3) of the 1933 Act; and (2) pay $30.4 million that will be distributed in varying amounts to the school districts through a Fair Fund. [read post]
27 Sep 2011, 7:56 am
Last week, the Securities and Exchange Commission (SEC) issued subpoenas to hedge funds and other financial firms as it investigates possible insider trading prior to the downgrading of the U.S. government’s credit rating by Standard & Poor’s. [read post]
26 Sep 2011, 5:00 am
Barr Rosenberg Research Center LLC was the registered investment adviser. [read post]
23 Sep 2011, 7:50 pm
Madoff Investment Securities LLC’s multibillion-dollar Ponzi Scam, which cost investors billions, wasn’t discovered until the end of 2008. [read post]
23 Sep 2011, 9:43 am
Madoff Investment Securities LLC prior to his death in 2000 and ultimately transferred to estate of his mother when she died in 2004 and liquidated for approximately $2 million. [read post]
