Search for: "American Investment Exchange, LLC"
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3 Jan 2012, 9:21 pm
Securities and Exchange Commission. [read post]
30 Dec 2011, 7:27 am
Madoff Investment Securities LLC was transferred to her estate and liquidated for approximately $2 million and the Trustee administering the Madoff liquidation filed a clawback suit against Mr. [read post]
21 Dec 2011, 4:30 am
July 22, 2011) the Securities and Exchange Commission (“SEC”) brought suit against the investment company Standford Group Company (“SGC”) and related entities for allegedly perpetrating a massive Ponzi scheme. [read post]
9 Dec 2011, 8:31 pm
The Securities and Exchange Commission says that it has resolved its Colorado securities fraud lawsuit against Universal Consulting Resources LLC (UCR) and the financial firm’s owner, Richard Dalton. [read post]
6 Dec 2011, 10:18 am
The North American Securities Administrators Association (NASAA) recently issued a letter to the SEC in which they commented on the proposed FINRA Rule 5123 related to Private Placements. [read post]
1 Dec 2011, 1:58 pm
Harris is counsel to Woodside, California, investment management firm Aurum STS Aggressive Trading LLC. [read post]
18 Nov 2011, 2:36 pm
Nontraded REITs are illiquid investments not bought and sold on any public exchange. [read post]
10 Nov 2011, 1:40 pm
The North American Securities Administrators Association, LLC (“NASAA”) president Jack Herstein was initially concerned stating that, “[i]f I'm a crook, I'd be licking my chops over [the Entrepreneur Act]. [read post]
31 Oct 2011, 1:55 pm
The bill would also require issuers to file a notice of the offering with the Securities and Exchange Commission. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
4 Oct 2011, 8:48 pm
The Third Arbitration Trilogy: Stolt-Nielsen, Rent-A-Center, Concepcion and the Future of American Arbitration American Review of International Arbitration, 2012Thomas Stipanowich Pepperdine University School of Law Abstract: For the third time in the modern era, a triad of key Supreme Court decisions represents a milestone in American arbitration. [read post]
3 Oct 2011, 8:37 am
On Sept. 23, both the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association issued an investor alert warning about investing through self-directed IRAs. [read post]
21 Sep 2011, 6:36 am
The Court’s decision in AT&T Mobility LLC v. [read post]
6 Sep 2011, 7:18 am
In exchange, the Lerners received reduced management fees, incentive payments and other benefits. [read post]
31 Aug 2011, 10:27 am
In particular, because of the Supreme Court’s recent opinion in AT&T Mobility LLC v. [read post]
18 Aug 2011, 5:00 am
Farmers Insurance Exchange, 63 Cal. [read post]
22 Jul 2011, 4:29 pm
Distributed by HDMK, LLC on behalf of the Republic of Panama. [read post]
18 Jul 2011, 5:51 am
© 2011 Simple Justice NY LLC. [read post]
18 Jul 2011, 2:00 am
investment 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 "Hedge… [read post]
