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10 Aug 2011, 6:19 pm
Citigroup Global Markets, Inc has been fined $500,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and detect securities fraud committed by former Smith Barney sales assistant Tamara Moon who worked in the firm's Palo Alto, California, branch office. [read post]
5 Aug 2011, 2:00 am
Today we continue our weekly installment highlighting the best of the corporate and securities blogosphere for the past week. [read post]
2 Aug 2011, 3:22 pm
Bjork, Select Asset Fund I, LLC, Select Asset Prime Index Fund, LLC, the J. [read post]
31 Jul 2011, 5:50 am
© 2011 Simple Justice NY LLC. [read post]
30 Jul 2011, 12:28 pm
Securities and Exchange Commission, 10-1305, US Court of Appeals, District of Columbia (Washington). [read post]
30 Jul 2011, 2:31 am
Brookfield is a global investment advisor focused on specialized equity and fixed income securities investments. [read post]
29 Jul 2011, 8:55 pm
Instead, while still a young woman, Plaintiff Whitney is encumbered with debt and does not appear to fully benefit from the financial security her structured payments should have afforded her. [read post]
28 Jul 2011, 8:59 pm
June 24, 2011), the court - pursuant to the New York Structured Settlement Protection Act - reviewed a proposed transfer and said the was no explanation as to why the payee needed the funds from the factoring company, Settlement Funding of New York, LLC: Plaintiff claims that she needs these funds to buy a new car, pay an outstanding $1000.00 to Wachovia for overdraft fees, and establish an emergency fund to provide a financial cushion for… [read post]
27 Jul 2011, 6:35 pm
Soros Fund Management LLC, told clients it will no longer manage outside investors' money. [read post]
18 Jul 2011, 2:00 am
Specifically, a person is an investment adviser if that person is engaged, for compensation, in the business of advising others with respect to securities. [read post]
17 Jul 2011, 11:20 pm
To what extent do you cover securities and m&a? [read post]
16 Jul 2011, 11:13 am
They're then sold later to owners looking for a quick way to secure bank loans, bid on contracts, and project financial stability. [read post]
14 Jul 2011, 8:43 pm
We seek to obtain the financial losses of our clients that were caused by securities fraud and other illegal activities committed by financial firms and their representatives, brokers, and advisers. [read post]
4 Jul 2011, 9:54 pm
Acknowledging that not all hedge funds invest in hard to value instruments, the following items may be of interest to readers: "Financial Model Mistakes Can Cost Millions of Dollars" by Susan Mangiero, Expert Witnesses, Volume 7, Number 1, Spring/Summer 2011, American Bar Association "Critical Issues for Hedge Funds: Special Report - The State of Valuation," Interview With Susan Mangiero, Securities Industry News, 2007 … [read post]
3 Jul 2011, 12:13 am
Expert Group, Inc. markets a variety of financial products and services through Expert Financing amp; Investments. [read post]
29 Jun 2011, 7:32 am
Postal Inspection Service and Florida's Office of Financial Regulation. [read post]
29 Jun 2011, 7:32 am
Postal Inspection Service and Florida's Office of Financial Regulation. [read post]
28 Jun 2011, 11:47 am
-based Highview Point Partners LLC as a relief defendant for allegedly holding funds tainted by the Ponzi scheme. [read post]
27 Jun 2011, 11:59 am
The Hong Kong High Court of First Instance has ruled that it had no jurisdiction to entertain an action by the Securities and Futures Commission alleging that a hedge fund engaged in insider dealing and false trading in securities since the Securities and Futures Ordinance created a dual regime of civil actions before the Market Misconduct Tribunal or criminal proceedings. [read post]
24 Jun 2011, 7:55 am
Securities and Exchange Commission (SEC) filed a complaint against Christopher Love Blackwell, AV Bar Reg Inc. and Millers A Game LLC, two entities he controls. [read post]
