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26 Aug 2021, 5:01 am
The SEC recently announced securities fraud claims against John Woods, an investment adviser in Marietta, Georgia, for allegedly defrauding over 400 investors in 20 states of more than $110 million, in a massive Ponzi scheme perpetrated through Horizon Private Equity, a supposed investment company Woods controlled, according to court records under review by investor rights attorney Alan Rosca. [read post]
10 Mar 2011, 5:52 pm
Related Web Resources: State Nets $155 Million in Settlement, Albuquerque Journal, March 7, 2011 Countrywide sued by 3 New Mexico funds, Pensions & Investments, Pension and Investments, August 20, 2008 New Mexico State Investment Council Public Employees Retirement Association of New Mexico New Mexico Educational Retirement Board More Blog Posts: Bank of America and Countrywide Financial Sued by Allstate over $700M in Bad Mortgaged-Backed Securities,… [read post]
13 Feb 2024, 9:40 am
(See prior anti-trust post to this blog site, dated December 20) Overall, commentators expect a pretty interesting 2024 acquisition year. [read post]
9 Jun 2017, 8:05 pm
A new report found that infrastructure investments have the potential to save 63,700 lives and prevent 353,560 serious injuries over a 20-year period if changes and updates were made to interstates and roads. [read post]
21 Jun 2011, 2:58 pm
As reported June 20 by Bloomberg, David Lerner has collected more than $600 million in fees and commissions over the past seven years while five Apple REITs have made more than $6 billion in proceeds. [read post]
9 Dec 2015, 4:00 am
My topic is “20 Questions for Prospective Clients”. [read post]
3 Feb 2023, 7:42 am
SEC Bars Ex-Laidlaw Broker, “Nate” Clay, after Allegations of Fraud According to a press release on January 20, 2023, the Securities and Exchange Commission reportedly charged Nathaniel “Nate” Clay with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for himself. [read post]
4 Jan 2011, 4:12 am
Today the top-rate of VAT has risen from 17.5% to 20%. [read post]
27 Jun 2013, 5:17 pm
When sentenced, Barkany faces up to 20 years in prison. [read post]
5 Feb 2010, 8:35 am
The confusion by some centers on the misperception that constructive receipt is triggered by such disclosure, despite the fact that there are two IRS Private Letter Rulings which date back over 20 years! [read post]
25 Jul 2020, 4:58 am
Physical sales here comprise only about 20% of the total market. [read post]
27 Oct 2021, 7:58 am
Founded in 1995, the firm pursues controlling investments in companies with $100 million to $1 billion in enterprise value and $20 million to $100 million in EBITDA in healthcare services and several other sectors. [read post]
22 Nov 2012, 11:32 am
SEC (PDF) Former Merrill Lynch financial advisor faces securities fraud charge, Boston.com, November 20, 2012 Stock trader guilty of fraud involving San Diego firm, Fox5 San Diego, November 19, 2012 More Blog Posts:MassMutual Settles for $1.625M SEC Charges Over Failure to Disclose Allegations Related to Complex Investments' "Cap," Stockbroker Fraud Blog, November 20, 2012 California Securities Lawsuit Claiming Negligent Misrepresentation Over… [read post]
19 Apr 2011, 10:33 am
, self-defense is one of the most valuable investments individuals make for their own safety and peace of mind. 2.) [read post]
5 Apr 2021, 6:23 am
These allegations may concern investments in GPB Capital Holdings (GPB Capital) related investments. [read post]
31 Mar 2015, 7:47 am
The maximum statutory penalty for each of the two counts of wire fraud is 20 years in prison and a $250,000 fine. [read post]
1 Nov 2010, 10:46 am
With the resulting changes in plan investment practices, and relationships between advisers and their plan clients, the Department [of Labor] believes there is a need to re-examine the types of advisory relationships that should give rise to fiduciary duties on the part of those providing advisory services.The proposed rule was published in the Federal Register on October 22, 2010, and written comments on the proposed regulations must be submitted to the Department of Labor on or before… [read post]
21 Feb 2018, 7:41 am
If a brokerage firm makes unsuitable investment recommendations or fails to adequately disclose the risks associated with an investment they may be liable for investment losses through FINRA arbitration. [read post]
7 Aug 2014, 3:05 am
Heu claimed to be an officer of Liquid Assets & Land Investments Inc. and Capital Land Investments LLC. [read post]
3 Mar 2010, 6:08 am
(Story here; opinion here; prior posts here and here.)Though many victims had argued that their claims were equal to the balances on their November 20, 2008 statements from Bernard L. [read post]
