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29 Jan 2011, 6:36 am
§§ 1301–1330) and to enlist the financial assistance of her husband to reinstate the loan, pay the arrearages, and resume the regular loan payments. [read post]
28 Jan 2011, 3:28 pm
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]
27 Jan 2011, 7:23 pm
We're about to witness the main event in financial institution internecine warefare: investment funds (MBS buyers) vs. banks (MBS sellers). [read post]
22 Jan 2011, 6:05 pm
The Debtors' Liabilities Schedule D discloses secured debts of $3,417,423 on the debtors' three homes and their commercial building. [read post]
21 Jan 2011, 3:56 pm
The Securities and Exchange Commission (SEC) has charged three New York investment firms - West End Financial Advisors LLC, West End Capital Management LLC, Sentinel Investment Management Corp. - and four senior officers - William Landberg, Kevin Kramer, Steven Gould and Janis Barsuk - of conning investors into believing their money was invested in stable, safe investments designed to provide steady streams of income. [read post]
14 Jan 2011, 2:11 am
Rosenzweig, who served as the director of North Hills Management LLC, a general partner of the hedge fund. [read post]
13 Jan 2011, 11:45 pm
(Disclosure: Mark Cuban, majority owner of Sharesleuth.com LLC, has no position in the shares of any of the companies mentioned in this report. [read post]
12 Jan 2011, 1:47 pm
Eccleston Law has learned that the SEC has recently charged Raymond Morris, James Haley, Jay Linford, attorney Luc Nguyen, E&R Holdings, LLC, Wise Financial Holdings, LLC, Momentum Leasing, LLC, Cornerstone Capital Fund, LLC, Vantage Point Capital, LLC, and Freedom Group, LLC with unregistered fraudulent offers, sales and purchases of securities. [read post]
12 Jan 2011, 8:00 am
The order also noted that: “The market timing agreements financially benefited JCM in that JCM realized additional advisory fees from the timed funds and sticky assets under its management . . . [read post]
11 Jan 2011, 12:52 pm
Mediacom, LLC, 142 S.W.3d 801, 807 (Mo.App. [read post]
10 Jan 2011, 7:35 pm
Goldman hired ACA asset-management unit ACA Management LLC as "portfolio selection agent” to choose the securities for the Abacus deal. [read post]
7 Jan 2011, 6:13 am
Madoff Investment Securities LLC. [read post]
5 Jan 2011, 11:26 am
However, the North American Securities Administrators Association (NASAA), which represents the securities commissioners of the 50 states, has stated that an SRO is neither necessary nor a good idea as the state securities commissioners and the SEC can collectively regulate the investment adviser industry in a more efficient manner than an SRO. [read post]
4 Jan 2011, 7:32 am
$850,000 $94,000 DeWaay Financial Network LLC $850,000 $134,525 Eagle One Investments LLC $360,000 $42,500 Empire Financial Group Inc [read post]
4 Jan 2011, 2:06 am
Funding for these property acquisitions was to be generated principally through the financial contributions of the founding members. [read post]
31 Dec 2010, 10:22 pm
" Finally, Sequoia alleges that Rogue River also "threatened Sequoia with foreclosure and used its secured position to demand and ultimately obtain additional security from Sequoia . . . in bad faith. [read post]
31 Dec 2010, 10:22 pm
" Finally, Sequoia alleges that Rogue River also "threatened Sequoia with foreclosure and used its secured position to demand and ultimately obtain additional security from Sequoia . . . in bad faith. [read post]
31 Dec 2010, 8:41 pm
The complaint also alleges that Saleh engaged in a pattern of withdrawing funds from annuities primarily to raise cash, with which she generated production credits and applied the proceeds to purchase of Closed-End Funds, Unit Investment Trusts, and mutual funds or reverse convertibles and then engaged in unsuitable excessive and short-term trading, causing the customer to incur cost with no substantial benefit for their portfolios. [read post]
31 Dec 2010, 11:50 am
Yucaipa American Alliance Funds II, L.P. v. [read post]
30 Dec 2010, 9:11 am
The criminal complaint against Winifred Jiau, a Fremont, Calif. technology expert, described in the WSJ story here, says she spoke with two hedge fund portfolio managers, identified as CC-1, from Hedge Fund A, and CC-2, from Hedge Funds B and C. [read post]
