Search for: "Security Financial Fund LLC"
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16 May 2011, 1:52 am
In the government’s largest hedge fund insider trading case in history, a jury in the U.S. [read post]
13 May 2011, 2:20 pm
One of the main advantages to being a homeowner is financial securityyour home will provide you some financial security from capital appreciation if housing prices are rising. [read post]
10 May 2011, 10:25 am
Summit and affiliates publish magazines and websites and produce conferences for the insurance, accounting, financial services, banking and legal industries. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
4 May 2011, 8:43 pm
In the Matter of the Application of Settlement Funding of New York, LLC (Kareen M. [read post]
3 May 2011, 1:32 pm
In many hearings, over several years, we have heard about the challenging environment for securing investment in emerging clean energy technologies. [read post]
2 May 2011, 11:23 pm
Alvin Waino Gebhart Jr., formerly with AFA Financial Group, LLC in Calabasas, California, was barred from association with any FINRA member and Donna Traina Gebhart, formerly with AFA Financial Group, LLC in Calabasas, California, was suspended from association with any FINRA member for one year and fined $15,000 in connection with engaging in private securities transactions without approval of their firm. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
29 Apr 2011, 8:28 am
Oh and anyway, these types of hackers, Carrns writes, “are often looking for notoriety, rather than to resell financial information” (Carrns). [read post]
28 Apr 2011, 3:37 pm
The SEC today charged Jonathan Hollander, a former hedge fund professional, with insider trading in Albertson’s, LLC based on material nonpublic information regarding an impending acquisition of ABS that Hollander received from a friend who was employed by the financial... [read post]
27 Apr 2011, 2:39 am
Y., LLC, 195 Misc 2d 721, 722 [2003]). [read post]
22 Apr 2011, 1:40 pm
In these consolidated actions, lender Homecoming Financial LLC and defendants executed promissory notes and mortgages for home purchases. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
4 Apr 2011, 9:02 am
$57,000 RP Capital LLC $51,000 Brewer Financial Services LLC $48,000 NFP Securities Inc [read post]
1 Apr 2011, 10:57 am
Basic Capital then sued, arguing that it had suffered financial injury by Dynex’s refusal to fund the loan commitments. [read post]
31 Mar 2011, 9:43 am
The purchase price was to consist solely of buyer’s assumption of a note (and security documents) on the property, and the $500,000 deposit was to be refunded at closing. [read post]
30 Mar 2011, 11:48 am
Typically the performance fee is structured as an allocation of the fund's income to the LLC (calculated on an investor-by-investor basis) rather than a fee on the entire fund. [read post]
30 Mar 2011, 7:00 am
A security would instead be an eligible investment for a money market fund if the fund’s board (or its delegate) determines that the security presents minimal credit risks. [read post]
29 Mar 2011, 2:06 pm
According to the FINRA enforcement action, LPL Financial did have a supervisory system that was intended to monitor the transfer of funds or securities from a customer account to third parties. [read post]
28 Mar 2011, 7:02 pm
Trustee together are asking the bankruptcy judge in New York to appoint a Chapter 11 trustee for West End Financial Advisors LLC, the adviser for dozens of funds. [read post]
