Search for: "Security Financial Fund LLC"
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4 Mar 2011, 6:58 am
Kobayashi, a former financial adviser at UBS Financial Services LLC, with misappropriating $3.3 million in a scheme that included bilking investors in a private investment fund he established. [read post]
3 Mar 2011, 3:52 pm
The attorneys at Eccleston Law are actively seeking victims of the fraud perpetuated by former UBS Financial Services, LLC adviser Steven T. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
1 Mar 2011, 1:50 pm
Barton, Triton Financial and Triton Insurance for violating Federal securities laws. [read post]
1 Mar 2011, 10:40 am
In this case, WAMU bank's broker affiliate was WAMU Investments Inc., which later became Chase Investment Services LLC. [read post]
25 Feb 2011, 1:02 am
Stamer has counseled, represented and trained employers and other employee benefit plan sponsors, plan administrators and fiduciaries, insurers and financial services providers, third party administrators, human resources and employee benefit information technology vendors and others privacy and data security, fiduciary responsibility, plan design and administration and other compliance, risk management and operations matters. [read post]
16 Feb 2011, 2:22 pm
Kim and his hedge fund, Liquid Capital Management, LLC, were recently indicted on charges of grand larceny and felony violations of New York state securities fraud statutes by the New York district attorney’s office. [read post]
15 Feb 2011, 8:32 am
Some industry groups and the National Association of State Securities Administrators, Inc. [read post]
12 Feb 2011, 4:21 pm
Credit Suisse Securities (USA) LLC (CS) broker Eric Butler is permanently barred from future violations of securities laws. [read post]
10 Feb 2011, 11:56 am
The pension fund also has a case against BofA’s Countrywide Financial. [read post]
10 Feb 2011, 6:50 am
The claim is related to a group of funds, MAT Finance LLC, short for municipal arbitrage trust. [read post]
8 Feb 2011, 7:08 am
Sanchez and Bourassa allegedly operated a business known as InvestForClosures.Com (d/b/a InvestForClosures Financial, LLC), which was allegedly in the business of purchasing, rehabilitating, and selling distressed houses or a profit. [read post]
8 Feb 2011, 1:09 am
These documents provide significant detail into the company's liabilities (including specifics as to whom the obligations are owed) and the financial results of the company over the past several years. [read post]
7 Feb 2011, 9:24 am
Bienenstock established the Business Solutions & Governance Department, which was instantly active and has been engaged in such high-profile restructurings as: * Ambac Financial Corp. and Capmark Financial Group (debtors counsel). * Lehman, CalGen and Innkeepers USA Trust (counsel to creditors or shareholder including banks and hedge funds). * General Motors (formulated its 363 sale strategy ultimately used by the US Auto Task Force for the Chapter 11 cases of Chrysler… [read post]
4 Feb 2011, 12:11 pm
During his remarks at the annual meeting of broker/dealer members of the Financial Services Institute on Feb. 2, Shorris specifically named private placements associated with Medical Capital Holdings and Provident Royalties LLC. [read post]
4 Feb 2011, 8:57 am
Morgan Securities LLC, and J.P. [read post]
3 Feb 2011, 10:20 am
While some of the organizations offer legitimate services, there are some that are scams that take the remainder of consumer's funds placing them in a worse financial situation than when they started. [read post]
2 Feb 2011, 3:36 pm
Please email us if you would like us to add your event to this list. **** February 2 Sponsor: Hedge Fund Boot Camp Event: Hedge Fund Boot Camp Location: New York, NY February 6-8 Sponsor: Index Universe Event: Inside ETF’s Conference Location: Hollywood, FL February 8 Sponsor: Eze Castle Integration Event: Launching a Hedge Fund: Legal, Financing & Technology Considerations for 2011 Location: Virtual event February 8-9 Sponsor: Institutional Investor… [read post]
30 Jan 2011, 9:45 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
30 Jan 2011, 5:51 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
