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14 Feb 2018, 2:57 pm by Kevin LaCroix
The petitioner/defendant in Kokesh was an investment advisor who provided advice to business-development companies. [read post]
30 Jan 2018, 1:42 pm by Rebecca Tushnet
Around 1999, Defendant publicly announced “Newmark Realty Capital, LLC,” later folded into Newmark Capital Markets. [read post]
29 Jan 2018, 11:28 pm by Kevin LaCroix
Many readers may have noted SEC Jay Clayton’s January 22, 2018 speech about his agency’s scrutiny of cryptocurrencies, as well as the January 24, 2018 opinion piece Clayton wrote in the Wall Street Journal along with his counterpart from the CFTC, J. [read post]
21 Dec 2017, 6:00 am by Doug Cornelius
Davidson Kempner Capital Management LLC, Investment Advisers Act Release Nos. [read post]
12 Dec 2017, 9:02 pm by Nate Nead
[viii] Christine Giordano, 3 Things to Know About Investing in Self-Storage, (June 20, 2016), Spaceshttps://money.usnews.com/investing/articles/2016-06-20/3-things-to-know-about-investing-in-self-storage-spaces. [read post]
12 Dec 2017, 4:36 pm by Kevin LaCroix
Readers who have been watching this story develop undoubtedly are aware that things have been moving very quickly recently on the regulatory front with respect to ICOs. [read post]
14 Nov 2017, 3:27 am by Kevin LaCroix
According to CNBC, software developers have raised close to $1.3 billion in 2017 from the sale of new virtual currencies with names like Tezzies, Atoms, and Basic Attention Tokens. [read post]
15 Oct 2017, 4:05 am by Tammy Binford
Invest in anti-mobbing and anti-bullying policy development and training for all – administrators, managers, HR, and all employees. [read post]
29 Sep 2017, 8:05 am by Zamansky
The post SEC, FINRA Warn of Investment Scams Related to Hurricanes Harvey and Irma appeared first on Zamansky LLC. [read post]
28 Sep 2017, 12:22 pm by Mark Astarita
 The New York office has responsibility for the largest concentration of SEC-registered financial institutions including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds. [read post]
17 Sep 2017, 7:30 pm by Wolfgang Demino
  Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
28 Aug 2017, 1:32 pm by Kevin LaCroix
  There, the tipper was an investment banker who provided material, nonpublic information about impending mergers to his brother who, in turn, provided the information to Salman, his brother-in-law. [read post]
28 Aug 2017, 10:15 am by zamansky
Zamansky LLC are investment and stock fraud attorneys representing investors in federal and state litigation and arbitration against financial institutions. [read post]